ε (eV)

PLASMA STERILIZATION USING LOW PRESSURE RADIO-
FREQUENCY DISCHARGES IN OXYGEN GAS
SEPTEMBER 2008
DEPARTMENT OF ADVANCED SYSTEMS AND
CONTROL ENGINEERING
GRADUATE SCHOOL OF SCIENCE AND ENGINEERING
SAGA UNIVERSITY
VICOVEANU DRAGOS IONUT

ACKNOWLEDGMENTS
This thesis ends a three years period of doctoral studies in the Laboratory
of Plasma Electronics and Engineering at Saga University, Japan. Obviously, I
could not have done and finish this work without the help of several important
people.
First of all, I want to express my profound gratitude to Professor Hiroharu
Fujita for the unique opportunity he has offered me to come and work in his
laboratory. I am especially grateful for the total freedom he gave me in research,
always ready to support, guide and discuss scientific, as well general aspects of
Japanese daily life.
A particular thank goes here to Associate Professor Yasunori Ohtsu for his
kindness and enthusiasm showed in the last three years, who has dedicated a lot
of his time, despite of a extremely busy schedule, for reviewing and commenting
all my entire scientific activity.
I am indebted to the other members of the referee committee Professor Kat-
sunori Shida, Professor Satoru Goto and Professor Kazuhiro Muramatsu for their
helpful criticism and availability during the redaction of this manuscript.
Next, I would like to thank to Dr. Tatsuya Misawa with whom I had many
discussions, always constructive and helpful. More than that, I want to show
ii

my appreciation especially for the technical magic he has done in the workshop
helping me, especially when a tight time schedule was pressing.
Very special thanks go to Dr. Sebastian Popescu, my office colleague in the
firsttwoyearsandahalfatSagaUniversity, for the all the things he contributed
to this important period of my life. Also, it is time here to thank for the help
and support that Dr. Popescu provided me to go through the difficult period
of integration from Romanian to Japanese culture and life style. You have been
always a good friend. At the end of these three years, I can proudly report that I
“know how to swim” on my own.
Nonetheless, as a sign of my total appreciation, I would like to dedicate this
entire work to Viorel and Maria Vicoveanu, my parents who have succeeded in the
difficult task of motivating me to stay in shape and never loose the faith, providing
me unconditional support and love. Also, to my brother Bogdan, it is time now
to dedicate this thesis for encouraging me all these years, especially when dark
clouds were above me.
iii

List of Symbols
A surface of the glass slide [mm 2 ]
Aeff
effective contaminated area of the glass slide [mm 2 ]
AV average number of colonies
CFU colony forming units
D decimal reduction values [min]
DF dilution factor
Di
Dh
Dh+ν
D h+ν+p
Dν
Dp
decimal reduction factor due to the action of the i inactivation agent [min]
decimal inactivation agent due to the heat action [min]
decimal reduction value due to the actions of heat and photons [min]
decimal reduction value due to the plasma action [min]
decimal inactivation agent due to the photon action [min]
decimal reduction value due to the plasma particles action [min]
e electron charge 1.602 × 10 −19 C
e logarithm natural base
E energy [W]
fp
pulse frequency [Hz]
k inactivation rate [min −1 ]
ki
inactivation rate due to the action of the i inactivation agent [min −1 ]
I intensity of the light plasma emission [arb. unit]
iv

Iis
ion saturation current [µA]
time averaged emission of the light plasma emission [arb. unit]
time averaged value of the ion saturation current [A]
M ion mass [kg]
n0
ne
mean number of spores per effective contaminated areea
plasma density [m −3 ]
N number of the individuals within a microorganisms population
N0
initial number of the individuals within a microorganisms population
N(t) number of surviving microorganisms at the time t
N(t + ∆t) number of surviving microorganisms at the time t + ∆t
P radio-frequency power [W]
P cw
eff
P pp
eff
effective continuous wave injected RF power [W]
effective pulsed injected RF power [W]
P pulse RF power injected during the pulse [W]
P pulse
eff
effective RF power injected during the pulse [W]
r microorganisms inactivation speed [units×min −1 ]
S probe collection surface [mm 2 ]
t time [min]
toff
ton
T period [min]
Te
power off time period [min]
power on time period [min]
electron temperature [eV]
v

V electrical potential [V]
α decay coefficient
α fraction of the wetted glass slide surface
α duty cycle
∆N number of inactivated microorganisms in the interval t + ∆t
τ pulse duration interval [min]
vi

CONTENTS
1 PRINCIPLES OF SURFACE DISINFECTION AND STERILIZATION 1
1.1 Introduction . ............................. 1
1.2 Disinfectionandsterilizationmethods................ 5
1.2.1 Sterilizationbyheat ..................... 6
1.2.2 Sterilizationbyelectromagneticradiation.......... 7
1.2.3 Sterilizationbychemicalagents ............... 8
1.2.4 Sterilizationbyparticlebombardment ........... 9
1.2.5 Sterilizationbyplasma.................... 9
1.2.5.1 Plasma-"based"sterilizers............. 10
1.2.5.2 Plasmasterilizers.................. 11
1.3 Mechanismsofplasmasterilization ................. 14
1.3.1 Mechanisms of plasma sterilization at atmospheric pressure 14
1.3.2 Mechanisms of plasma sterilization at low pressure .... 15
1.3.3 Topicalissuesinsterilizationresearch............ 17
1.4 Objectiveandstructureofthisthesis ................ 19
2 EXPERIMENTAL SET-UP AND TECHNIQUES USED IN PLASMA
STERILIZATION 23
2.1 Introduction . ............................. 23
2.2 Experimentalset-up ......................... 24
vii

2.3 Microbiologicaldiagnostics...................... 27
2.3.1 Theoretical description of bacteria inactivation . . . .... 27
2.3.2 Experimental technique used for bacteria inactivation . . . 32
2.3.2.1 Microorganisms used for testing procedures . . . 32
2.3.2.2 Samplespreparation ................ 33
2.3.2.3 Determinationofviablespores .......... 34
2.4 Plasmadiagnostics .......................... 37
2.4.1 Measurementofelectricalproperties ............ 37
2.4.2 Measurementoftheplasmalightemission ......... 38
3 RELATIVE INFLUENCE OF PLASMA INACTIVATION AGENTS ON
BACTERIAL SPORES IN CONTINUOUS WAVE RF OXYGEN DIS-
CHARGES 41
3.1 Introduction . ............................. 41
3.2 Experimentalprocedure ....................... 43
3.3 ExperimentalresultsandDiscussion................. 43
3.3.1 Influenceofheat ....................... 43
3.3.2 Influenceofopticalradiation................. 51
3.3.3 Influenceofplasmaparticles................. 57
3.4 Initialstageofplasmatreatment .................. 62
3.5 Powersensitivityofsporeinactivationkinetics........... 64
3.6 Conclusions .............................. 66
viii

4 EFFECTS OF LOW TEMPERATURE PULSED PLASMA DISCHARGE
ON BACTERIAL SPORES INACTIVATION 71
4.1 Introduction . ............................. 71
4.2 Experimentalprocedure ....................... 72
4.2.1 Pulsecharacteristics ..................... 74
4.2.2 Injected RF power . . . ................... 76
4.3 Experimentalresultsanddiscussion................. 78
4.3.1 Temperatureevolutionofthebacteriaholder........ 78
4.3.2 Temporaldynamicsofbacterialpopulation......... 84
4.3.3 Evolution of light emission intensity with pulse characteristics 90
4.3.4 Evolution of plasma density with pulse characteristics . . . 96
4.4 Conclusions .............................. 101
5 CONCLUSIONS 103
5.1 Unsolvedproblemsandfuturework................. 105
ix

CHAPTER 1
PRINCIPLES OF SURFACE DISINFECTION
1.1 Introduction
AND STERILIZATION
The development of sterilization concepts has a long history starting from the
end of 19 th century when the first rules for controlling the spreading of pathogen
agents were established [1]. Boiling of the medical instruments and the first steam
sterilizer has been introduced in the 1880 0 s [1, 2]. Not much latter, the concept
of non-thermal sterilization method for food, drinks and materials preservation
has gained more attention. Therefore, chemical gas and liquid disinfectants were
adopted as low temperature alternatives. The most common chemical sterilant,
still intensively used nowadays, is the ethylene oxide gas which has been introduced
in hospitals and medical industry starting with 1940. [1,3].
The application area for pathogens destruction has not been covered only by
thermal and chemical methods. The decontamination potential of the electromag-
netic radiation as for example gamma or X rays irradiation was tested starting
with the second half of the last century [1]. Not much latter, electrical gas dis-
charges were introduced as an original approach suitable for microbial inactivation
1

and intuited to bring new important benefits in this area.
Nowadays, due to the continuous growth of the interest for finding more robust
and effective sterilization techniques, the conceptual basis of this research topic
are much better established. Altogether, a number of rules for contaminated
medical pieces with pathological microorganisms have been imposed, mostly of
them derived from daily practice and limitations of the commonly used techniques.
Hence, standardized procedures and methods have come as a consequence and
accepted as sterilization and disinfection principles [4-6].
Definition 1 Cleaning is the act of removal of undesirable elements from an
object.
These undesirable elements can be any kind of impurities. If the impurities are
microorganisms (microscopic life-form with dimension of few microns) the object
is said to be, in medical terms, as infected [7, 8]. Consequently, the cleaning of
such an object is called disinfection. However, during the disinfection process the
microorganisms are simply removed and let alive, as can be in the case of cleaning,
but inactivated [7-9].
Definition 2 Inactivation of a microorganism is the process of stopping its nat-
ural activity by function-altering or destruction (i.e., killing).
Under these circumstances, a clear definition of disinfection can be given:
2

Definition 3 Disinfection is the process of inactivation of a fraction of the total
microorganisms existing on the treated object.
If the desired effect is the total disinfection of an object, then the process will
be called sterilization [7, 8, 10]. Under these terms, the sterilization can be defined
under two different aspects: a theoretical, as well as a practical (operational) one.
Definition 4 (Theoretical) Sterilization is the process of inactivation of all the
microorganisms existent on the treated object.
In practice, the assessment of the effectiveness of an inactivation experiment
is realized by counting the surviving microorganisms [10-12]. This experimental
procedure makes use of the following operational definitions:
Definition 5 Disinfection is the process at the end of which the number of
surviving microorganisms is at least one.
Definition 6 Sterilization is the process at the end of which the number of
surviving microorganisms is less than one.
These definitions are also illustrated by the schematically representation from
the Fig. 1.1.
Usually, the standard number of microorganisms infecting an object is chosen
to be 10 6 [13-18]. Then, in accord with the above definitions, at the end of
the experiment, the treated object (surface) is said to be "sterilized" if the final
3

Figure 1.1: Schematic representation of disinfection and sterilization operative
definitions. The number of microorganisms is represented by N, whereN0 is
the initial number of microorganisms on the treated object at the beginning of
disinfection or/and sterilization process.
number of surviving microorganisms is less than 10 −6 of their initial number [17,
18]. With other words, the sterilization is achieved if the employed technique
is able to decrease the number of viable microorganisms with 6 (six)ordersof
magnitude.
For microbial decontamination processes, two particular microorganism struc-
tures have a major importance: the bacterial vegetative state and its sporu-
lated form [15, 17-26]. The vegetative or the natural living state is the bacterial
form which can be found in the natural habitat. When the natural habitat has no
nourishment resources then the vegetative cell will produce, through the sporu-
lation process, one spore which represents a defensive and resistant structural
adaptation of bacterium to hard living conditions, as shown in Fig. 1.2 [15, 21-
26]. Hence, it is believed that the spore formation is a mechanism of bacterial
4

Germination
Spore
coat
Sporulation
Vegetative cell
Spore coat
formation
Figure 1.2: Illustration of the main phases of the sporulation-germination cycle.
After [27].
survival. When the life conditions allow the sporulated form germinate back into
vegetative cell again through the enzimatically triggered germinative processes.
Usually, the sporulated forms are recognized as very hard to kill microorganisms.
Their resistance is due to the protection systems developed during the sporulation
process [23, 25, 26].
1.2 Disinfection and sterilization methods
The decontamination (i.e., disinfection or sterilization) methods can be di-
vided by the type of the killing agent used in the treatment procedures. When
the inactivation agent come into direct contact with the contaminants, the suc-
5

Table 1.1: Common disinfection and sterilization methods.
Sterilization Method The killing agent
Thermal method pressured steam heat, dry heat
Electromagnetic radiation
Chemical method
ultraviolet photons, gamma rays,
X rays, microwaves, electric fields
ethylene oxide gas, formaldehyde gas, ozone,
glutaraldehyde, peracetic acid, chlorine dioxide,
hydrogen peroxide, high pressure carbon dioxide
Particle bombardment method particle beams (E-beams, ion and neutral beams)
Plasma method heat, optical radiation, plasma particles
cess of the procedures depends in principal on two important factors: the type of
the microorganisms and the nature of the killing agents [8]. A summary of these
techniques used in daily medical practice is presented in Table 1.1.
1.2.1 Sterilization by heat
Heat is the physical agent mostly used for sterilization and disinfection in
moist and dry heat forms [8, 25, 28, 29]. An additional technique to the existing
ones is the pyrolysis [30]. The effectiveness of these methods depends on the
6

treatment time, temperature, and pressure (for the steam case).
The devices using heat as an inactivation agent are the autoclave and the
dry heat oven. The autoclave is using a high pressure steam circulating at a
temperature of 121 ◦ C.Thetimerequiredforafulltreatmentcycleisvarying
from 20 minutes for unwrapped instruments to 30 minutes for wrapped ones. On
the other hand a more easy to sterilize sequence, when the composition of the
materials allows, is given by the dry heat. This is usually circulated by convection
through the oven chamber in order to touch all the surfaces of the instruments.
The standard temperatures are varying from 160 ◦ Cto170 ◦ C. The treatment
time is between 2 and 4 hours including the cooling time [31-34].
The major disadvantages of the heat sterilization methods come from the high
temperatures used for material processing or the high cooling periods needed after
treatment. The advantages rely on the simplicity of the method and the lack of
chemical contaminants [33, 34].
1.2.2 Sterilization by electromagnetic radiation
Photons from the ultraviolet (UV)-with wavelengths from 200 nm to 380 nm,
and vacuum ultraviolet (VUV)-with wavelengths less than 200 nm have been in-
tensively used as sterilization and disinfection agents in the past. It is believed
that the most effective wavelengths interval of the light spectrum for microorgan-
isms inactivation is between 220 nm and 285 nm [25, 35, 36]. At these wavelengths
7

the radiation energy is resonantly absorbed by the nucleic acids and proteins inside
of the bacteria [15, 16, 35, 36]. However, the applications employing UV irradi-
ation are somehow limited for surfaces disinfection. Instruments with complex
geometry can have shielded regions and a direct contact with the photons cannot
be fully sterilized [15, 37]. In some practical situations, the effectiveness of UV
light is improved combining the optical radiation with microwaves [38]. Usually,
low pressure gas discharges (e.g., mercury vapor bulbs) are the most effective UV
light sources [35-38].
Ionizing rays are considered the most effective known sterilization method
[39-41]. Theadvantagesofthistechniquearerepresentedbythelowtreatment
temperature and high volume penetrability of the materials to be treated. The
inactivation agents are beta particle, gamma and soft X-rays. The ionizing par-
ticles are generated with the help of linear accelerators and radioactive isotopes
sources. For irradiation in the healthcare facilities, sources of Co60 at 4 Kare
commonly used. The treatment time is proved to be a great disadvantage, the
exposure being 10 to 20 hours long. Other limitations of the methods are the high
installation prices and the bulk alteration of some materials [40, 41].
1.2.3 Sterilization by chemical agents
When medical instruments sensitive to heat require low treatment tempera-
ture, chemical compounds are generally used for sterilization in gas and liquid
8

states. In the Table 1.1 are presented the most commonly used chemisterilants
[3,4,42,43]. Theireffectiveness depends essentially on the concentration of the
reactive agent. Usually, this is interfering with microorganisms proteins or lipids
creating also local membrane perforations. In the same time, a powerful damag-
ing action is directed to the DNA’s structure through degradative and oxidative
processes. Altogether these causes lead to the cell’s death [3].
1.2.4 Sterilization by particle bombardment
Sterilization by particle bombardment method usually involves beams of neu-
trals or charged species. The most known killing agent is the beam of electrons
having energies ranging from 3 MeV to 12 MeV [44-47]. This technology is not
entirely new. Pioneering work in electron beam (E-beam) processing has began in
the 1930 0 s. E-beam sterilization method was commercialized in the 1950 0 s. The
procedure is similar to gamma rays irradiation in that it alters various chemical
and molecular bonds of the contaminants through particles impact with objects
to be sterilized [39-41, 44-46].
1.2.5 Sterilization by plasma
Theuseofplasmasoffers an original and more practical approach for steriliza-
tion because of their properties [15-18]. The method basically consists in exposing
the contaminated objects or surfaces to the plasma action. They are rich produc-
9

ers of heat, optical radiation and energetic charged or neutral particles, which
have showed sterilization and disinfection capabilities of a very wide spectrum
of Gram-negative and Gram-positive bacteria including spores, biofilm-forming
microorganisms, yeasts, mycobacteriums, and viruses [15-18, 48-112]. More than
that, plasmas have presented a number of important characteristics appreciated in
medical fields (e.g., effective in blood coagulation, biocompatibility inducing the
growth of tissues by stimulation of the genomic response, tissue ablations, etc.)
besides its capacity to have an effective microbial action [77, 88, 94, 103]. How-
ever, for plasma to become a veritable sterilization solution, it is desirable also to
achieve protein destruction and removal [88]. While the proteins destruction is a
new type of investigation and needs more time to be studied, the prospect of a
plasma-based medical sterilization technology has advanced bases.
1.2.5.1 Plasma-"based" sterilizers
Two sterilizers (with market names of Sterrad R° and Plazlyte TM )usinggas
plasma discharges have been developed and commercialized in medical healthcare
facilities [48-50]. In fact, they are chemical systems using an electrical discharge
for decomposition of the main chemisterilant agent (i.e., hydrogen peroxide or
peracetic acid) into safe chemically non-reactive parts, here the plasma having just
a secondary role. Therefore, their names as plasma sterilizers are improperly used
[51-54]. Real plasma sterilizers are those in which the killing agents, generated
10

only by the electrical discharge, have the leading inactivation role [57-112].
Nonetheless, the plasma-"based" sterilization has its important role in deter-
mining the explosion of scientific research in real plasma sterilization systems,
along with several other advantages. These can be synthesized in the low tem-
perature of the processing cycle and the reduced treatment times (up to 3 hours).
Overall, the use of such devices has improved the sterilization of thermosensitive
category of the medical materials. Therefore, their efficiency and the effects on
various materials have been closely monitored in many studies. On the other
hand, the main concerning issue related to their operation is the use of powerful
chemicals in the beginning of the treatment [50, 53, 54]. Despite of its high ef-
ficiency to sterilize endoscopic instruments, Plazlyte TM has presented difficulties
during sterilization of the ophthalmic instruments. It is worth to mention also
that the Plazlyte TM system was retreated from the market.
1.2.5.2 Plasma sterilizers
The plasma sterilizers contains direct current (DC), alternative current (AC),
radio frequency (RF) and microwave (MW) driven discharges produced at low,
medium and high to atmospheric pressures. They were developed and tested for
their potential as alternatives technologies to the existing conventional sterilization
techniques. A schematic classification of low to atmospheric pressure plasma
sources used for microbial inactivation is given in the Table 1.2
11

Table 1.2: Main plasma sources used for microorganism inactivation
Low Pressure Atmospheric Pressure
Direct Current (DC) sources
Radio Frequency (RF) sources
Microwave (MW) sources
AC/DC glows, Coronas
Dielectric Barrier Discharges (DBD)
RF/MW torches
The year 1968 came with the first patented device which used an electrical
discharge for medical tools sterilization [113]. The plasma was produced to a pres-
sure of 1 Torr using an inert gas and was sustained by an RF (13.56 MHz) electric
power applied to a coil located outside the chamber. This first attempt has an
historical importance in the sterilization by plasma field since the first mechanism
of microorganisms destruction by an electrical discharge has been advanced in the
same time. In this case the plasma ensured thermal destruction of the pathogen
agents.
A substantial progress of understanding the plasma killing mechanisms started
with the early of 80 0 s when a series of hypotheses have began to be published.
Studies regarding the importance of the gas mixtures within discharges were
pointed out the effectiveness of the O2-based plasmas [58]. Due to the action
of the atomic oxygen, which is a highly chemical reactive species, these discharges
showed strong biocidal effects. Besides O atoms, other ground and excited species
12

like ozone or hydroxyl radical can be produced and play in the same time a major
role in neutralization of bacteria. An increase efficacy also showed the addition
of small halogens volumes such as chlorine, bromine and iodine within the steril-
ization chambers. It was concluded that oxygen mixtures containing gases (e.g.,
CO2, O2, N2, H2O vapors, etc.) are much more effective than others (e.g., inert
gases) [17].
A new step towards a better understanding of sterilization process came when
the ultraviolet emission, inherent in plasmas, was taken into account as an in-
activation agent, especially for its role played in the direct attack against DNA
molecules [15-18, 70]. Until then, in low pressure plasmas, the main mechanism it
was believed to be the incineration and oxidation of the biological structures [55,
58].
The first model of the sterilization process came 1993, based on a thermody-
namic approach revealing some insights on the influence of the substrate tempera-
ture on the oxidation rate of microorganisms [17]. The kinetics of adsorption and
desorption processes which lead to a better destruction rate were analyzed. It was
concluded that the free radicals present in the discharge are reacting with the cell
walls, enzymes and nucleic acids destroying the vital parts of the microorganisms.
However, this simplification of the inactivation mechanisms did not take into ac-
count the UV radiation. A more extensive physical description of the sterilization
process is advanced few years latter, which takes into account the dynamics of
13

microorganism population as a response to plasma action [81].
1.3 Mechanisms of plasma sterilization
Even if it is known that plasma is acting on bacteria with all its three killing
agents (i.e., heat, optical radiation and plasma particles), the precise inactivation
mechanism is still not known, many suppositions being advanced in the last years
[80-90]. Some of them were reviewed recently and they are summarized as it fol-
lows: microincineration, UV photons direct impact on the DNA strands, erosion
of the microorganism structure atom by atom through etching and synergistic
effects involving the UV light, pure chemical etching, accumulation of charged
particles on the external membrane of microorganisms and sputtering of the mi-
croorganisms membrane materials by energetic charged particles [57, 60-87].
1.3.1 Mechanisms of plasma sterilization at atmospheric
pressure
An acceptable satisfactory sterilization mechanism still seems to be a subject
of controversy for plasmas produced at atmospheric pressure [57, 63, 68, 86, 91,
92]. Majority of the scientists are commonly believe that reactive plasma species,
such as ground and excited state oxygen atoms, hydroxyl radicals, ozone, and
nitride oxides, are important, whilst UV photons seems to play a relatively minor
role [57, 86, 107-112]. With this purpose, the concentration of oxidative products
14

inside the spores was measured trying to confirm these results. On the other
hand, the role of optical radiation in atmospheric pressure discharges was recently
confirmed by other scientists and it was shown that UV photons lead the microbial
inactivation process [57].
1.3.2 Mechanisms of plasma sterilization at low pressure
At low pressure, a detailed sterilization mechanism has been developed taking
into account the microorganism survival curves (i.e., the number of microorgan-
isms as a function of the treatment time) [17, 18, 70-75, 81]. The physical processes
responsible for the observed temporal dynamics of the bacteria population were
found to be carried out mainly by UV photons and radical species created in
plasma. The last ones are getting adsorbed on the microorganism surface in such
a way that volatile compounds are formed. Such an erosion mechanism of sur-
faces is known as etching [61, 82-84]. Following the steps of the survival curve,
the inactivation process takes place in three phases detailed below:
1. In the first phase the destruction of microorganism genetic material (i.e.,
DNA) by UV photons dominates the inactivation process as it is shown in
Fig 1.3;
2. The erosion of the microorganism through etching takes place in the sec-
ond phase. Here, the reactive species are adsorbed on the microorganisms
surface and start chemical reactions (chemical etching) forming compounds
15

UV Photon
Before After
DNA
Figure 1.3: Destruction of the DNA molecule by photon direct impact.
as CO2, COandH2O which are harmless. In parallel, a photo-desorption
process takes place where UV photons are breaking chemical bonds overall
contributing to the etch rates. More than this, it is believed that the photons
are acting synergistically with reactive species, accelerating the elimination
rate of microorganism organic materials [17, 18, 57, 64, 65]. The schematic
representation of the physical processes which take place in this phase is
showninFig.1.4;
3. The last phase starts when the surface of microorganisms has been eroded
enough that the UV photons can finally kill the last survivals leading to
total inactivation of the entire population.
16

Figure 1.4: Schematic representation of the erosion process meaning photodes-
orption by photons impact and the synergetic action of reactive species and UV
photons translated into UV-induced etching. After [81].
1.3.3 Topical issues in sterilization research
As a sterilization tool, plasma dominates the existent classical methods with
its impressive properties. Unfortunately, the application of plasmas in industry
and commerce requires several issues to be solved. These have a starting point
coming of the controversies which still dominate the mechanisms of microorganism
inactivation and of various technological difficulties meet in the processing of the
whole range of medical instruments. For example, there have been many attempts
17

to sterilize medical tools, but their various internal lumens or hollow parts still
fails [106]. The difficulties it seems to arise of the weak possibility to produce
an uniform discharge along small but long diameter tubes or pipes. Another
problem is the treatment temperature, especially when the samples or instruments
are closed to the plasma production region. Within the discharge itself the gas
temperature can reach few hundreds Celsius degrees, therefore, the decrease of
surfaces heating is important when heat sensitive materials are processed [70, 84].
Moreover, the sterilization itself needs a good understanding of the physical
and biochemical complex phenomena which occur during this process. Until now,
the vast majority of the studies have pointed out the importance of UV photons or
reactive neutral species, usually abundant in plasma discharges than other species.
More than this, it is emphasized their synergic action on the microbial extinction
[17, 57, 60, 81].
Regardless of the tentative decontamination mechanisms already proposed, it
is clear that plasma acts on bacteria with all its three inactivation agents: heat,
optical radiation, and plasma particles [70]. In the last years, there have been a
few attempts to assess the relative effectiveness of these inactivation agents in low
pressure and atmospheric pressure discharges. However, the number of studies on
this topic is still very small, and the reported obtained results are highly different.
Therefore, our research has a purpose to rule out controversies related to the role
of each plasma inactivation agent in the process of microorganisms inactivation.
18

1.4 Objective and structure of this thesis
The aim of this thesis was to understand, by following a rigorous experimental
approach, some of the physical phenomena involved in the disinfection or/and
sterilization processes of the bacterial spores with inactivation agents produced
within a low pressure RF discharge. Much of the work has been carried out to
establish the relative effects of each killing agent generated by plasma [70-75].
From this point of view, the discrimination of the role of different inactivation
agentsischallenging,becauseitisdifficult to isolate the effect of one particular
agent by suppressing the production of others.
Regarding the heat effects on the contaminated samples the conditions to op-
erate the discharge were changed. The plasma was pulsed to bring the advantage
of a much low heat absorbed by the treated objects. Moreover, how the kinet-
ics of microorganisms inactivation is affected by pulsed plasma operation mode
(i.e., pulse characteristics) has not yet been systematically studied. Therefore, the
present thesis covers in its second part the aspects of the sterilization with pulsed
plasma. It is necessary to mention that, for microbiological testing procedures,
Bacillus subtilis spores (Bss) were used.
Thethesisisorganizedasitfollows:
Chapter 2 contains the description of the experimental RF plasma reactor,
including the treatment chamber geometry and the electrical circuitry used to
accomplish the experimental investigations. Microbiological procedures are pre-
19

sented by both theoretical and experimental approaches. Electrical and optical
plasma diagnostics are described at the end of the chapter.
In Chapter 3, the investigation of the competitive effects of plasma killing
agents is conducted. The inactivation of a population of Bss is analyzed in a low
pressure high density RF inductively coupled oxygen plasma (ICP). The experi-
ments were especially designed to allow the discrimination of the influence of each
inactivation agents on bacteria samples. The decimal reduction values (D-values),
characteristic for the action on the spores of heat, optical radiation and plasma
particles, respectively, were estimated for different RF injected powers.
Based on the obtained experimental results the injected RF power sensitivity
of the spore inactivation kinetics was also established, by determining and using
the Z-value corresponding to the employed inactivation method.
In Chapter 4, theeffects of pulsed plasma on the Bss inactivation kinetics
are evaluated. The inactivation rates were calculated from the bacteria survival
curves and their dependencies on the pulse characteristics (i.e., pulse frequency
and duty cycle) were compared with those of the plasma parameters. The low
temperature treatment of the contaminated samples surfaces is emphasized as a
major advantage of pulsed discharges.
Chapter 5 summarizes the results obtained in the present thesis and outlines
the future research of the author on this topic.
The relations existent among different parts of the present research are pre-
20

sented in the flow chart from Fig. 1.5.
21

Plasma Sterilization Using Low Pressure RF Discharges with
Oxygen Gas
Research objectives
Study of the effects of plasma inactivation agents on bacterial spores
in oxygen RF continuous wave and pulsed wave discharges
1. Relative influence of plasma inactivation agents on bacterial
spores in continuous wave RF oxygen discharges
HEAT
Low treatment
temperature
Pulsed
Plasma
Plasma Configuration and Experimental Methods
Microbiological diagnostics and Plasma diagnostics
OPTICAL
RADIATION
Plasma
Radicals
PLASMA
PARTICLES
Plasma Charged
Particles
2. Effects of low temperature pulsed plasma discharges on bacterial
spores inactivation
Pulse characteristics
(pulse frequency and duty cycle)
Plasma properties Inactivation effectiveness
(inactivation rates)
Figure 1.5: Flow chart of the present thesis.
22

CHAPTER 2
EXPERIMENTAL SET-UP AND
TECHNIQUES USED IN PLASMA
2.1 Introduction
STERILIZATION
The experiments described in the present thesis have been conducted on an
inductively coupled plasma (ICP) device constructed in the laboratory of Electri-
cal and Electronic Engineering, at Saga University [70-75]. Basically, it consists
of discharge chamber with an internal single loop antenna to which the RF power
is coupled. The device is similar with other ICP with internal antenna described
someplace else [97]. The whole system permits to produce plasmas with prop-
erties comparable with ones that are used for surface processing and allow the
comparison of the results with those found by other research groups [17, 18, 57].
In this chapter, the RF ICP device and techniques used in plasma sterilization
are described. The section 2.2 concerns about the experimental set-up used for
plasma treatments. Microbiological diagnostics used to investigate the dynamics
of the microorganisms population is covered by both theoretical and experimental
23

Figure 2.1: Experimental set-up. MB-matching box. PG-pulse generator. RF-
radio frequency power supply. LP-Langmuir probe. SH-spores holder. SS-
spores sample. T-thermocouple. LA-lens anssembly. OF-optical fiber. M-
monochromator. C-controller. O-oscilloscope.
approaches in the section 2.3. Finally, the plasma electrical and optical diagnostics
is detailed in the section 2.4.
2.2 Experimental set-up
The microorganism treatment was carried out in an ICP device with a cylindri-
cal stainless-steel vacuum vessel. The schematic view of the experimental arrange-
24

RF
O
MB
VP
PG
GT
SH
DC
LP
BG
to pumps
Figure 2.2: Photographic view of plasma experimental set-up. O-oscilloscope.
MB-matching box. VP-voltage probe. RF-radio frequency source. GT-gas tank.
SH-spores holder. LP-Langmuir probe. DC-discharge chamber. BG-baratron
gauge.
ment is presented in Fig. 2.1. The height of the reactor is 150 mm and the diameter
is 300 mm. The upper part of the vessel can be lifted, giving access to the spore
holder (SH in Fig. 2.1). The detailed picture of the experimental device can be
seen in the Fig. 2.2
The plasma diagnosis and observation was realized through a few plexiglas
ports and one quartz window. The RF power was injected into the plasma by
the help of the horizontal, internal ring antenna, 200 mm in diameter, made of a
25

Figure 2.3: Electronic circuit of the matching box.
stainless-steel tube, and covered with an electrical insulator.
The antenna was located in the center of the chamber, and was connected,
through a manual matching box unit (MB in Fig. 2.1), to a 13.56 MHz RF power
supply. The detailed view of the matching network can be seen in Fig. 2.3. The
input power to plasma can be optimized by acting on the two variable condensers
(Fig. 2.3) in order to minimize the RF power loses in the system. Therefore, the
power injected in the system can be found subtracting the reflected power from
the incident power (i.e., the power from the output of the RF source). These can
be visualized on the main electronic front panels of the VTC−0HI10 model B023
RF source.
The support for the spore sample was a horizontal stainless steel Petri dish, 8
cm in diameter, situated at 3.5 cm below the horizontal plane of the antenna, on
the vertical symmetry axis of the reactor. During the experiments this holder was
26

electrically floating. Its temperature was monitored with a thermocouple probe
connected to a digital thermometer.
The reactor was vacuumed to a base pressure below 2.67 × 10 −3 Pa (2 × 10 −5
Torr) by a ULVAC Japan Ltd. (model YH− 500A) high vacuum system, and
pure O2 was introduced to ensure a working pressure of 2 Pa (15 mTorr). The
absolute gas pressure was monitored during the plasma discharge by a Baratron
manometer and the base pressure was measured by an ion gauge.
2.3 Microbiological diagnostics
The microbiological diagnostics undertakes with a review on the theoretical
aspect of the inactivation process and tend to complete the definitions presented
in the introductory part of the thesis. The methodology and materials needed
for an accurate diagnostic and efficient detection of the bacteria inactivation are
closing this section.
2.3.1 Theoretical description of bacteria inactivation
The inactivation of a microorganism population is a statistical process [24,
25]. That is, it is impossible to predict when any of the microorganisms will die,
knowing that the initial population N0 contains a sufficiently big number of indi-
viduals such that the statistical methods to be applicable (i.e., N0 is large enough
that the statistical variation in the inactivation rate will average out). Under
27

such circumstances, the inactivation process must be mathematically described in
terms of probability of inactivation per unit time.
If at the time t after the beginning of the inactivation process the number
of still surviving microorganisms is N(t), andafterashorttimeinterval∆t, the
number is N(t + ∆t), then the number of bacteria that died in the time ∆t is
∆N = N(t) − N(t + ∆t). (2.1)
Consequently, the decrease of the number of surviving bacteria during ∆t will be
−∆N.
It is experimentally observed that for a given initial population of microorgan-
isms, over short time intervals ∆t the speed of bacteria inactivation is constant
N(t) − N(t + ∆t)
r = lim
= cst. (2.2)
∆t→0 ∆t
For large bacteria population and very short inactivation times, the quantity N
can be treated as a continuous one, from mathematical point of view. Expanding
N(t + ∆t) in Taylor series and keeping only the linear terms, Eq. (2.2) becomes:
r = lim
∆t→0
N(t) − [N(t)+ dN ∆t + ...]
dt
∆t
∼ dN
= − . (2.3)
dt
Equation (2.3) showsthat,ifindt the number of inactivated bacteria is dN, then
in 2dt the number of inactivated bacteria will be 2dN.
Another experimental observation is that the number of inactivated bacteria
28

during a short time interval dt is proportional with the bacteria population. This
is, if dN bacteria dies during a time dt from an initial population of N bacteria,
then with 2N bacteria, the number of inactivations in the same time interval dt
will be 2dN. This means that, for short time intervals, bacteria die independently
of each other, since the inactivation rate is not influenced by the proximity of
one bacterium to others. Given the above observation, the inactivation speed r,
defined by Eq. (2.2), can be written as
r = α · N, (2.4)
where the proportionality constant α is called the decay coefficient of the bacteria
population. The quantity α is thus independent of t and N, and depends only on
the type of bacteria and on the type of the inactivation agent used for sterilization.
Introducing Eq .(2.4) in (2.3), the variation rate of the viable bacteria with
time can be expressed by the following differential equation
dN
dt
= −α · N. (2.5)
Separating the variables, integrating, and using the initial condition
N(t =0)=N0, (2.6)
the evolution of the number N of viable microorganisms ones, and with the treat-
29

ment time t is
N = N0e −αt ≡ N0 × 10 −kt , (2.7)
where k is the inactivation rate. The relationship between k and α is straightfor-
ward:
k = α log 10 e ' 0.434α (2.8)
The transformation from the natural logarithm to the decimal one has also a
practical advantage. It easily shows the number of bacteria decades at any time
t.
The inverse of the inactivation rate, measured under isothermal conditions,
is called decimal reduction value or, on short, D-value, and it represents the time
needed for the reduction with 90% (i.e., 10 times or 1 log) ofthemicroorganisms
population
D = 1
. (2.9)
k
If the counted population of bacteria is represented semilogarithmically for
different treatment times, then, according to Eq. (2.7), the slope of the obtained
regression line will yield the inactivation rate k, and its inverse, in accord with
Eq. (2.9), will give the D-value.
If n independent inactivation agents act simultaneously on bacteria, then Eq.
(2.7) will have the same form, with the global inactivation rate given by
30

N/N 0
1.0
0.8
0.6
0.4
0.2
0.0
0 2 4 6 8 10
t (min)
inactivation curve
survival curve
Figure 2.4: Time evolution of inactivated or survival bacteria during the inacti-
vation process.
k =
nX
ki. (2.10)
i=1
Consequently, the global D-value can be written as:
1
D =
nX
i=1
1
Di
. (2.11)
Usually, to quantify the destruction effects of an inactivation agent, survival
or inactivation curves of the microorganism population is used [117, 118]. These
are drawn both in Fig. 2.4. The survival curve (represented by continuous line)
31

shows the number of the viable microorganisms at the end of the treatment. The
inactivation curve (represented by dashed line) shows the number of the inacti-
vated microorganisms at the end of the treatment time. The survival/inactivation
ratio is used to study the influence of the inactivation agents on microorganisms
viability (i.e., the relative number N/N0 or 1 − N/N0 of the surviving/inactivated
bacteria at the end of the treatment period).
2.3.2 Experimental technique used for bacteria inactivation
2.3.2.1 Microorganisms used for testing procedures
The microorganisms used in all the experiments were sporulated form of Bacil-
lus Subtilis (American Type Culture Collection #6633), due to the fact that the
spores present a higher resistance to inactivation when are exposed to extreme
environment conditions than microorganisms in vegetative state [25, 117, 118].
With other words, if the experimental procedure is suitable for sporulated
form inactivation or sterilization, it will certainly give successful results for the
same bacterium, but in the vegetative state. Since a spore is a “dormant” bac-
terium (i.e., a resistant and defensive form of bacteria to harsh environments), the
use of spore contaminated samples for plasma sterilization testing procedures is
encouraged.
Regarding the taxonomy of Bacillus subtilis species, it can be stressed that
phenotipically, Bacillus subtilis #AT CC 6633 which is widely used in sterilization
32

procedures is almost the same as its counterpart strain of Bacillus atrophaeus for-
merly subtilis #AT CC 9372. Somedifferences have been observed recently among
which the pigment which appears only to the last one [118]. Moreover, Bacillus
atrophaeus is also known to produce a taxonomic confusion as a consequence of
its reclassification. It is not the case of the strain of Bacillus subtilis #AT CC
6633. Therefore, we choose to maintain the same sporulated form and its scien-
tific nameastestingmicroorganismsthroughout the microbiological experimental
procedure.
2.3.2.2 Samples preparation
Avolumeof100 µl of sterile water containing a spore population of N0 =10 6
was aseptically spread (by dropping) on the surface of a glass slide (25 × 15 mm 2 )
and allowed to dry overnight. In order to avoid the spore stacking, the initial
volume of 100 µl wasdividedin5 aliquots of 20 µl, dropping them in 5 different
points on the glass slide.
For all the obtained samples, the covering degree of the glass slide surface
was higher than 75% (i.e., α>0.75, whereα is the fraction of the wetted glass
slide surface). Under these conditions the effective contaminated area of the glass
slide is Aeff = αA > 281.25 mm 2 , A =375mm 2 being the surface of the glass
slide. Consequently, the mean number of spores per effective contaminated area
is n0 = N0/Aeff < 3.56 × 10 −3 µm −2 , which means that, on average, each spore
33

has n −1
0 > 281.25 µm 2 available surface on the glass slide. Taking into account
that the mean surface occupied by an untreated spore is A0 ≈ 0.75 µm 2 ,then
each spore has an average available surface on the glass slide (n0A0) −1 > 375
times higher than its own [57]. This means that the spreading method used in
the present experiments avoids stacking (i.e., the spores form a monolayer on the
surface of the glass slide).
2.3.2.3 Determination of viable spores
After the plasma treatment, the glass slide with the microbiological material
on it was aseptically recovered and washed in 10 ml of sterile water in a glass test
tube. The content of the glass test tube was gently shaken, and then ultrasonicated
at 39.5 kHz for 3 minutes. One ml of this volume was diluted by adding 9 ml of
sterile water. This procedure was repeated until the desired dilution factor was
achieved.
In order to decrease the detection limit of the counting method less than 1
log, a volume of 2 ml of each dilution was transferred and equally plated on 2
Petrifilms TM (3M Company). Indeed, if from 10 ml dilution containing 10 spores,
only 1 ml is plated on a Petrifilm and no colony is detected, the detection limit will
certainly be 1 log (i.e., 10 spores). However, from these 10 ml of dilution containing
10 spores, we extracted 2 ml and equally plated them on two Petrifilms. Under
these circumstances, the detection limit decreases under 5 spores (which is less
34

than 1 log).
For each experimental set, one sample was kept untreated (the control sample).
The Petrifilmswereincubatedat32.5 ± 2.5 ◦ Cfor24 ± 1 hours. After incubation
the results were recorded by counting the colony forming units (CFU) in CFU ×
ml −1 , following the count plate method from the "Interpretation Guide" of 3M
PetriFilms [119]. The calculation of the average number of CFU’s per Petrifilm
after the plates were counted was made using the formula:
AV × DF = CFU/ml (2.12)
where DF is the dilution factor (the absolute value of the reciprocal of the dilution)
and AV is the average number of colonies per Petrifilm.
Experimental results recorded for a sample treated 1 min by plasma feeded by
100 W injected RF power, are shown in the Fig. 2.5. It can be seen that successive
dilutions (I-IV) are plated on two Petrifilms (1 st and 2 nd rows). When colonies
are too numerous to count (TNTC) on a plate, typically, the entire growth area
will turn pink, as shown in the first two columns (I-II). On the other hand, when
the dilution factor (DF) increases, small pink spots of variable dimensions can be
distinguished and counted.
Usually, the preferable counting range is between 25 and 250 colonies. When
the average number is more than 250 CFU,asitcanbeseeninthethirdcolumn
from the Fig. 2.5, the average number of colonies in 1 cm 2 is multiplied by 20 (i.e.,
35

1 st
2 nd
( I) TNTC (II) TNTC (III) 450 CFU (IV) 46 CFU
Figure 2.5: Determination of viable spores using the counting method. For this
experimental trial, the results recorded were TNTC (too numerous to count) for
the first two dilutions and an average number of 450 and 46 CFU (colony forming
units) recorded for the next two dilutions, respectively.
approximative area of inoculation is 20 cm 2 )tofind the total count per plate. In
this case the viable spores number was recorded as 4.6 × 10 5 CFU/ml.
To eliminate other causes which can determine spore inactivation, a series of
experiments was carried out only using the contaminated samples, but without
producing plasma. This precaution was taken since it was reported that long time
desiccation in high vacuum environment can neutralize spores [25]. Therefore
36

several samples were kept more than 80 hours at a pressure lower than 10 −4 Pa.
However, after one day of incubation the whole spore population was recovered.
Also, a rapid recovery was observed when oxygen was flowing in the experimental
chamber at the working pressure.
The set-up was cleaned after every experiment to avoid cross-contamination.
The above series of tests showed that the low pressure oxygen environment does
not plays any role in spore inactivation, if plasma is not present.
2.4 Plasma diagnostics
2.4.1 Measurement of electrical properties
Plasma electrical properties in the vicinity of the bacteria sample were evalu-
ated from the I(V ) characteristics of a movable Pt cylindrical electrostatic probe,
0.4 mm in diameter and 6.25 mm in length (LP in Fig. 2.1) insertedinoxygen
plasma. During the experiments, the collecting surface of the probe was placed
horizontally, at 14 mm above the contaminated sample, on the symmetry axis of
both the ring antenna and the bacteria support. The Langmuir probing circuit is
presented in Fig. 2.6.
The compensation of the probe was realized to prevent the RF power influence
on the probe circuit. This was done by inserting an RF signal blocking filter in
the probe circuit, containing three LC circuits in series with the probe tip, having
the resonance frequencies the RF power supply frequency (i.e., f =13.56 MHz)
37

U
LC blocking filter
19.74 pF 20.24 pF 0.17 pF
6.98 µH 1.70 µH 0.90 µH
13.56 MHz 2f
3f
Probe tip
Figure 2.6: Electronic circuit of the Langmuir probe. The RF compensation is
made by an LC blocking filter.
and its first two harmonics (i.e., f2 =2f and f3 =3f, respectively). The current
flowing through the probe is measured.
The plasma parameters (i.e., electron temperature and density) were calcu-
lated from the I(V ) characteristics. When the RF injected power values were
varied from 100 to 400 W the plasma density and electron temperature were es-
timated and from the I(V ) traces and they are represented in Fig. 2.7. It can
be seen that the plasma density increases almost linearly with the injected RF
power (ne ∝ P ). As a consequence of the increasing of the ionization collisions,
the electron average kinetic energy (Te) is decreasing.
38

T e (eV)
6
5
4
3
2
1
0
100 200 300 400
P (W)
4x10 10
3x10 10
2x10 10
Figure 2.7: Estimation of the plasma density and electron temperatures from the
I(V ) characteristics of the Langmuir probe. The RF power applied was varied
between 100W and400 W.
2.4.2 Measurement of the plasma light emission
10 10
Light plasma emission was analyzed with a Jobin Yvon spectrometer model
DA−40. The optical emission was monitored with a quartz optical and the signal
was fed to a monochromator, as shown in Fig. 2.8. This is connected to a central
unit (controller) which commands the sweeping of the whole wavelengths interval.
The spectra were analyzed within the 300 and 850 nm wavelength interval, due
39
n e (cm -3 )

Figure 2.8: Experimental set-up used for measurement of plasma light emission.
to the physical limitations of the monochromator. The spectra were recorded
and observed by a digital oscilloscope (Tektronix TDS3032) directly connected
to monochromator.
40

CHAPTER 3
RELATIVE INFLUENCE OF PLASMA
INACTIVATION AGENTS ON BACTERIAL
SPORES IN CONTINUOUS WAVE RF
3.1 Introduction
OXYGEN DISCHARGES
Microorganism inactivation by plasma treatment has stirred a great interest
in the recent years. Oxygen and oxygen-based plasmas proved to be effective for
the inactivation of highly resistant microorganisms, especially of the sporulate
ones [15-18, 37, 57-61]. Radio-frequency driven plasma devices using these gases
at low, medium and atmospheric pressure have been developed and tested for
their potential as alternative technologies to the existing conventional sterilization
techniques [15-18, 42, 60, 62-64]. Although plasma as a sterilization tool has
proved its advantages over the thermal and chemical ones, the precise inactivation
mechanism is still not known, many suppositions being advanced in the last years
[15, 17, 37, 50, 57, 60, 61, 65, 66]. Some works give credit to the optical radiation
as being the dominating inactivation agent, [16-18, 37, 57, 67] others state that
41

the reactive species from plasma are responsible for bacteria inactivation, [15, 60,
62, 64, 65, 68, 87, 97] and another category of studies propose an explanation
based on the synergy of the above two [17, 18, 57, 60, 64, 65, 69, 88].
Regardless of the tentative microbial decontamination mechanisms already
proposed, it is clear that plasma acts on bacteria with all its three inactivation
agents: heat, optical radiation, and plasma particles (i.e., electrons, ions and
neutrals). In the last years there have been a few attempts to assess the relative
effectiveness of these inactivation agents in low pressure [61, 69] and atmospheric
pressure discharges [68]. However, the number of studies on this topic is still very
small and the reported results are obtained under highly different experimental
conditions to allow comparisons and/or rule out controversies.
The aim of this chapter is to evaluate the relative effects of each of the above
mentioned plasma inactivation agents. In order to study the dynamics of spore
inactivation, the survival curves (i.e., the number of surviving spores as a function
of the treatment time) were traced for different injected RF powers. Using the ob-
tained survival curves, the extracted information allowed to establish the separate
contribution of each of the above three inactivation agents to the reduction of the
viable spore number. These results indicated that during the initial stage of the
plasma treatment of the spore contaminated samples, the most important inacti-
vation agent is the optical radiation, whereas the second stage of treatment, the
leading role is taken over by plasma particles. Moreover, the RF power sensitivity
42

of the spore inactivation kinetics was also studied by using the Z-value.
The schematic diagram of the chapter is presented in Fig. 3.1.
3.2 Experimental procedure
During the experiments, the RF injected power was varied between 100 Wand
400 W, with a step of 100 W, and it was applied in a continuous wave mode. In all
thecasesthemicroorganisms’treatmenttimewasextendeduptot =30min. All
the contaminated samples were handled as described in the previous chapter. In
order to establish the relative importance of the plasma inactivation agents (i.e.,
heat, optical radiation, and plasma particles), three sets of experiments have been
performed. First, for studying only the heat influence on the Bss viability, the
contaminated sample was secluded with a metallic cover, to prevent the action of
the plasma particles and photons. To emphasize the effect of photons, the metallic
cover was replaced by a transparent one. Finally, to evaluate the action of the
plasma particles, any kind of cover was removed, exposing the Bss sample directly
to the plasma.
3.3 Experimental results and Discussion
3.3.1 Influence of heat
Heat represents the most common microorganism inactivation agent. In plasma,
the treatment of temperature sensitive medical tools has been found to be conve-
43

Temperature
measurement
Relative influence of plasma inactivation agents on
bacteria in continuous wave RF oxygen discharges
k (kh, kν, kp)
(inactivation
rates)
Outside of
thermal
equilibrium
Experimental procedure
(isolation of the effects produced
by plasma inactivation agents)
Dynamics of bacteria population
(survival curves)
Thermal
equilibrium ?
Z-value
Plasma
diagnostics
Evolution with
injected power
(P)
Close to
thermal
equilibrium
D (Dh, Dν, Dp)
(decimal
reduction values)
Solved problems:
• Relative importance of plasma inactivation agents [heat (h), optical
radiation (ν) and plasma particles (p)] was assessed
• Discussion of the power sensitivity with inactivation kinetics
• Introduction of the concept of Z-value specific for plasma sterilization
• Invalidation of the speculation proposed to justify the existence of
multislope survival curves as a consequence of spore stacking
Unsolved problems:
• Effects of pulse parameters on bacteria inactivation in pulsed plasma for
low temperature treatment of thermosensitive medical materials
• Comparison of the inactivation dynamics between continuous wave and
pulsed plasma regimes;
• Identification of the sort of particles responsible for bacteria inactivation.
• Identification of the actual physical process at the origin of plasma
sterilization.
Figure 3.1: Schematic diagram of the chapter.
44

nient [50], because plasma allows the control of the temperature at the level of the
contaminated object. On the other hand, it has been found that heat represents
a competitive cause in the sterilization mechanism in plasmas [58, 65].
The influence of the heat and the related phenomena of bacteria inactivation
by heat generated from plasma have not been studied yet in detail. Usually,
it is believed that even if the temperature in plasma is very high (like in the
case of the microincineration case) the processed material can not be damaged
because of the very short exposure time. The temperature intervals for a safe
sterilization treatment are largely varying in the scientific literature. For low
pressure discharges, some research groups proposed a temperature less than 70
◦ C. Other researchers consider that if the temperature is less than 100 ◦ C, then it
will be sufficiently low compared with the temperatures used by using the classical
heat decontamination methods. Moreover, the biological property of the spores
to resist to high temperature gives enough reasons to believe that a sufficient low
temperature is not interfering with the effects of other inactivation agents, and it
is not a cause for microorganisms’ inactivation.
However, during the plasma treatment, the temperature was found to greatly
affect the kinetics of inactivation even if its value is low. Significant variations
of the survival curve profile were obtained when the temperature of the bacterial
holder was kept at ±15 ◦ C, and +60 ◦ C, respectively. Experimental observations
showed that the temperature appears to introduce competitive effects and the
45

MR
MP
SH
Figure 3.2: Experimental arrangement used for studying the heat influence on
spore viability. MP-metallic plate. MR-metallic ring. SH-spores holder. SS-
spores sample.
microorganisms deactivation effectiveness is depending on the treatment temper-
ature [58, 71-75].
SS
Therefore, we conducted for the first time experiments related to the effects
introduced by dry heat temperature produced by plasma. To study the heat
influence on spores viability, the separation of the plasma action (i.e., plasma
particles and photons) from the thermal effects on microorganisms is necessary.
This was realized by covering the Bss sample with a stainless steel plate (0.5 mm
thickness). The specific experimental arrangement is presented in Fig. 3.2.
In order to avoid the contact of this plate with spores, the Bss sample, (SS in
Fig. 3.2) the contaminated glass slide was placed inside a stainless steel ring (4
cm inner diameter and 2 mm height, MR in Fig. 3.2) and the metallic plate (MP
46

T ( 0 C)
200
160
120
80
40
0
0 5 10 15 20 25 30
t (min)
400 W
300 W
200 W
100 W
Figure 3.3: Temporal evolution of the holder temperature recorded during the
plasma experiments. The RF power applied was varied between 100 and 400 W.
The vertical dashed line represents the separation of two regions with different
increasing temperature rates.
in Fig. 3.2 ) was used as a lid laying on the ring.
The temperature evolution at the level of Bss sample was permanently mon-
itored by a thermocouple probe and the temporal profiles of the surface temper-
ature of the holder (SH in Fig. 3.2) are presented in Fig. 3.3. Two separate
regions were obtained, in accord with the previous studies [59, 63, 65]. The first
region is within the first 5 minutes from the ignition of the discharge and presents
47

a fast temperature increasing rate. The second region is a quasi-linear saturation
one with a much lower rate of the temperature increase, the holder temperature
approaching there the thermal equilibrium with the plasma. The highest temper-
ature, of 198 ◦ C, was achieved at P =400W RF injected power, after a treatment
time of 30 minutes. On the other hand, the lowest temperature of 61.2 ◦ C, was
obtained for P =100W,afterthesametreatmenttime. Itisworthwhileto
stress here that the surface of the holder, which was in contact with the tip of the
thermocouple probe (Fig. 2.1), was permanently exposed to plasma. In this way
the temperature profile of the holder surface (Fig. 3.2) was practically unaffected
by the presence of a cover on the contaminated sample. With other words, the
holder temperature displayed in Fig. 3.3 is a direct measure of the injected RF
power, it being the thermodynamic (i.e., macroscopic) measure of the microscopic
interactions between the holder surface exposed to plasma and plasma (particles
and photons).
To assess the role of the heat generated in plasma during the inactivation
process, the microorganism survival curves were studied. The effects of the dry
plasma heat (i.e., heat transferred by thermal conduction from the microorganism
holder to the spore sample) on microorganisms viability are showed in Fig. 3.4.
The profile of these survival curves is a typical one for the heat treatment of
microorganisms [17]: curvilinear, with two characteristic regions, connected by
a shoulder within the first 5 minutes of treatment. Even if the temperature is
48

N/N 0 (%)
10 2
10 2
10 2
10 2
10 1
10 1
10 1
10 1
10 0
10 0
10 0
10 0
10 -1
10 -1
10 -1
10 -1
10 -2
10 -2
10 -2
10 -2
10 -3
10 -3
10 -3
10 -3
10 -4
10 -4
10 -4
10 -4
10 -5
10 -5
10 -5
10 -5
sterility
0 5 10 15 20 25 30
t (min)
100 W
200 W
300 W
400 W
Figure 3.4: Survival curves showing the heat effects on Bss viability. The RF
power was in the range of 100-400 W. The temporal behavior of the number N
of survivor spores is represented by continuous lines. N0 is the initial number of
spores. The dashed horizontal line represents the sterility of the sample.
growing fast during the first treatment stage with a high rate ( dT
dt
>> 0), the
inactivation level is insignificant there. This result can be easily explained by
taking into account that the thermal inactivation of these spores is triggered by
a temperature surpassing a certain threshold value above which the structural
modification of the biological material become irreversible and the growth of a
spore into a colony, after incubation, can not take place anymore. Comparing
49

D h (min)
10 3
10 2
10 1
10 0
100 200 300 400
P (W)
Figure 3.5: The decimal reduction value Dh experimentally obtained for Bss ex-
posure to heat (h). The injected RF power was varied between 100 and 400
W.
thedatainFigs. 3.3and3.4, itcanbeseenthat,after5 min of treatment, the
number of Bss starts to decrease only if the holder temperature surpasses 90 ◦ C
(the temperature profile for 200 W RF injected power in Fig. 3.3).
After the first treatment stage, the survival curves show an exponential de-
crease. The survival ratio N(t =30min)/N0 decreases from 97% at P =100W
to 0.01% at P =400W. Due to the fact that for the second phase of the survival
curves (i.e., for t>5 min) the temperature of the holder is almost constant with
50

a rate closed to zero ( dT
dt
≥ 0; cf. Fig. 3.3), a quasi—isothermal treatment can be
achieved. In this case, the corresponding D—values can be defined and estimated,
as shown in Fig. 3.5.
The curve Dh (the index h referring to heat), corresponding to the Bss inac-
tivation by thermal conduction alone, shows that the time needed to reduce the
number of viable spores with one order of magnitude is decreasing over 80 times
when the RF injected power is increased from 100 to 400 W.
3.3.2 Influence of optical radiation
To emphasize the action of photons on Bss sample, the contribution of plasma
particles to spore inactivation was eliminated. This was realized by replacing the
metallic plate covering the contaminated sample with a quartz one (1 mm in
thickness and cut-off wavelength at 170 nm, such that the contaminated sample
was exposed to the whole light spectrum, excepting the vacuum ultraviolet range).
In this way the Bss sample was affected only by the action of heat (transferred
by conduction from the holder to the microbiological sample, as discussed in the
above subsection) and photons (including all processes accompanying the photon-
spore interaction). The experimental arrangement designed for this purpose is
presented in Fig. 3.6.
It is well-known that the optical radiation produced by different processes in
plasma is an efficient inactivation agent [15-18, 57, 71, 75]. An important source
51

MR
QP
SH
Figure 3.6: Experimental arrangement to study the influence of optical radiation
on Bss viability. QP-quartz plate. MR-metallic ring. SH-spores holder. SS-spores
sample.
of photons in plasma is represented by atomic and molecular quantum processes
(e.g., de-excitation). Irradiation of microorganisms with electromagnetic radiation
in the ultraviolet range has been found effective for their inactivation, especially
between 220 nm and 280 nm for the inactivation studies. High intensity of photons
fluxes, in this wavelength interval, as obtained in previous studies, have been found
SS
to be resonantly absorbed by the organic molecules of the spore [16].
Even if the ultraviolet emission is weak in oxygen plasma [60, 65], low survival
ratios N/N0 are obtained in the fist treatment stage of the survival curves. The
fast decrease of the Bss population can be attributed to the direct attack on DNA
molecules by the photons which may surpass the spore protective structures. The
photo-desorption process which takes place at the spore surface where the photons
52

N/N 0 (%)
10 2
10 2
10 2
10 2
10 1
10 1
10 1
10 1
10 0
10 0
10 0
10 0
10 -1
10 -1
10 -1
10 -1
10 -2
10 -2
10 -2
10 -2
10 -3
10 -3
10 -3
10 -3
10 -4
10 -4
10 -4
10 -4
10 -5
10 -5
10 -5
10 -5
sterility
0 5 10 15 20 25 30
t (min)
100 W
200 W
300 W
400 W
Figure 3.7: Plasma photons and heat effects on spores. The injected RF power was
varied between 100 and 400 W. The horizontal dashed line indicates the sterility
of the sample. The vertical dashed line, at t =5min, represents the separation
between the inactivation phases.
with high energies are breaking chemical bonds increasing in this way the etch
rates has been emphasized by some researcher groups. Another effect generated
by the photon absorption by the spores is their supplementary heating. More-
over, when the RF applied power increases the photon flux to the microorganisms
sample becomes higher. Also, the bacteria temperature increases with the RF
injected power.
53

The contribution of photons and heat (transferred by thermal conduction),
produced by oxygen plasma, to the inactivation kinetics is shown in Fig. 3.7.
The survival curves were drawn under the same conditions as in the case of
theheatexperimentsfora30 minutes maximum treatment time. They present
a convex, biphasic temporal profile as obtained in previous studies [67]. The
threshold between the regions with different inactivation kinetics is also passed,
after about 5 minutes from the beginning of the treatment. That is marked in
Fig. 3.7 by the vertical dashed line.
During the first treatment stage (i.e., t

D (min)
10 3
10 2
10 1
10 0
D h
D h+ν
100 200 300 400
P (W)
Figure 3.8: The decimal reduction values Dh and Dh+ν experimentally obtained
for Bss exposure to heat (h) andphotons(ν). The injected RF power was varied
between 100 and 400 W.
represented in Fig. 3.8, where they are labelled as Dh and Dh+ν (ν denoting
photons). The curve Dh+ν shows a steady and slow decrease with P .Figure3.8
also shows that in the case of P =100W, where the effect of thermal conduction
on Bss are small, the inactivation is attributed mainly to the action of the plasma
photons. However, at higher values of the RF injected power, the inactivating role
of the heat transferred to the spores from their holder increases. To separate the
55

D (min)
10 3
10 2
10 1
10 0
Dν
D h
100 200 300 400
P (W)
Figure 3.9: The characteristic decimal reduction values calculated for the action
of heat (h), photons (ν) on Bss. The injected RF power was varied between 100
and 400 W.
influence of photons on Bss viability, from that of heat, the latter’s contribution
must be subtracted. Thus, applying Eq. (2.11), which for this case has the form
D −1
ν = D −1
h+ν
− D−1
h , (3.1)
the values for Dν can be calculated using the informational content of Fig. 3.8.
The obtained results are represented in Fig. 3.9, which shows that for small RF
injected powers (i.e., below 200 W) the photon action is dominant in the process
56

SH
SS
Figure 3.10: Experimental arrangement used for studying the plasma particle
influence on Bss viability. SH-spores holder. SS-spores sample.
of microorganism inactivation, since in this power range Dν

N/N 0 (%)
10 2
10 2
10 2
10 2
10 2
10 2
10 2
10 2
10 1
10 1
10 1
10 1
10 1
10 1
10 1
10 1
10 0
10 0
10 0
10 0
10 0
10 0
10 0
10 0
10 -1
10 -1
10 -1
10 -1
10 -1
10 -1
10 -1
10 -1
10 -2
10 -2
10 -2
10 -2
10 -2
10 -2
10 -2
10 -2
10 -3
10 -3
10 -3
10 -3
10 -3
10 -3
10 -3
10 -3
10 -4
10 -4
10 -4
10 -4
10 -4
10 -4
10 -4
10 -4
10 -5
10 -5
10 -5
10 -5
10 -5
10 -5
10 -5
10 -5
400 W
200 W
300 W
100 W
0 5 10 15 20 25 30
t (min)
sterility
Figure 3.11: Survival curves of Bss for direct exposure to plasma. The injected
RF power was varied between 100 and 400 W. The vertical dashed line shows the
separation between the inactivation phases, for 100 WinjectedRFpower. For
injected RF powers higher than 100 W, the transition between the inactivation
phases occurs earlier. The horizontal dashed line shows the sterility of the sample.
58

the threshold between the two phases of the temporal profile of the survival ratio
given by the vertical dashed line in Fig. 3.11 is shifted towards lower treatment
time values when the RF injected power is increased. Also, comparing the data
from Figs. 3.7 and 3.11, it results that this shift is due to the action of the plasma
particles in the inactivation process.
The second phase of the inactivation kinetics becomes shorter and shows a
total inactivation (i.e., sterilization of the sample) of the Bss when the RF injected
power is higher than 200 W.ThiscanbeseeninFig. 3.11 from the intersection
of the horizontal dashed line (i.e., marking the sterility) with the fitted lines of
the experimental data. Moreover, the results displayed in Fig. 3.11 show that
the plasma treatment of the spores becomes more efficient when the RF injected
power is increased. Correspondingly, the total inactivation time becomes shorter,
with values decreasing from 20 minutes at P =200Wto9 minutes at P =400
W.
The last phase of the survival curves, represented in Fig. 3.11, for which the
holder temperature is in the saturation region (Fig. 3.3), allows for the determina-
tion of the fingerprint of the plasma treatment efficiency: the D-value. Its profile
is also displayed in Fig. 3.12, the corresponding curve, obtained for all the used
RF injected powers, being labeled as Dh+ν+p, where the index p represents the
contribution of plasma particles. Comparing the curves of Dh+ν and Dh+ν+p, it
can be seen that the action of plasma particles on bacteria reduces with one order
59

D (min)
10 2
10 1
10 0
D h+ν+p
D h+ν
100 200 300 400
P (W)
Figure 3.12: Decimal reduction values Dh+ν and Dh+ν+p experimentally obtained
for Bss exposure to heat (h), photons (ν) and plasma particles (p). The injected
RF power was varied between 100 and 400 W.
of magnitude the time needed to inactivate 90% of the number of microorganisms.
Again, making use of Eq. (2.11), written in the form
D −1
p = D −1
h+ν+p − D−1
h+ν , (3.2)
the influence of the plasma particle action on the spore population can be high-
lighted. The results are displayed in Fig. 3.13 and they clearly show that for an
RF injected power above 125 W, the leading role in Bss inactivation is played by
60

D (min)
10 3
10 2
10 1
10 0
D h
D p
D ν
100 200 300 400
P (W)
Figure 3.13: Decimal reduction values calculated for the action of the heat (h),
photons (ν) and plasma particles (p) on Bss. The injected RF power was varied
between 100 and 400 W.
plasma particles (Dp

holder is mainly given by particle collisions.
3.4 Initial stage of plasma treatment
During the initial stage of plasma treatment of the Bss samples (i.e., roughly
the first 5 min of the inactivation process), the compound system plasma—contaminated
sample is out of thermal equilibrium (Fig. 3.3). Consequently, as stated above,
theD-valuecannotbedefined and used as a quantitative measure of the time
needed for a tenfold reduction of the spore population. However, the assessment
of the relative influence of the plasma inactivation agents on the spore mortality
can still be done by making use of the inactivation rate k proper to each inactiva-
tion agent. This approach is justifiedbythefactthatk can be used independently
of how far the system is outside the thermal equilibrium. Although k and D are
formally related by Eq. (2.9), it is worthwhile to note that the validity of this
equation is conditioned by the presence of the thermal equilibrium between the
contaminated sample and plasma.
The profiles of the inactivation rates, proper to each plasma inactivation agent,
as functions of the injected RF power, can be easily obtained by analyzing the in-
formational content of the Bss survival curves (Figs. 3.4, 3.7, 3.11) corresponding
to the first stage of the inactivation process and making use of Eq. (2.10). These
curves are displayed in Fig. 3.14.
As expected, because the sample is out of thermal equilibrium with plasma,
62

the role of heat in inactivating the microorganisms is almost inexistent. The
results also show that the leading role in spore destruction is played by the optical
radiation produced in plasma. Moreover, the interaction of plasma particles with
the Bss population is only of secondary importance for their inactivation, when
the treatment time is shorter than the time needed by the contaminated sample
to reach the thermal equilibrium with plasma.
k 1 (min -1 )
0.8 k ν
0.6
0.4
0.2
0.0
100 200 300 400
P (W)
Figure 3.14: Inactivation rates k1, corresponding to the first treatment stage,
calculated for the action of heat (h), photons (ν) and plasma particles (p) on Bss.
The injected RF power was varied between 100 and 400 W.
63
k p
k h

3.5 Power sensitivity of spore inactivation kinetics
In the assessment of the performances of a sterilization device working on the
basis of a given inactivation method (e.g., using plasma), the energy consumption
plays a key role. More specifically, for a given treatment time, it is important
to know how large should be the increase of the injected power, with respect to
a reference value, such that to achieve a tenfold microorganism mortality, with
respect to that obtained for the reference value of the injected power. Since the
inactivation kinetics can be described by the D-value, the above problem can be
solved by relating the injected power with the treatment temperature and studying
the temperature profile of D. It is obvious that this solution is valid only if the
treatment time is long enough such that the contaminated sample to reach the
thermal equilibrium with the surrounding environment (e.g., plasma), or else the
temperature concept cannot be defined.
The temperature dependence on the injected power can be established by
using the experimental data displayed in Fig. 3.3. The difficulty which arises
here is related to the establishing of a proper value for the sample temperature,
because during the second stage of the inactivation process the saturation value of
the holder temperature increases with the treatment time (Fig. 3.3). Under these
circumstances, the proper sample temperature was chosen as being the minimum
value of the holder temperature for which the holder reaches a state situated in
the linear neighborhood of the thermal equilibrium with plasma. Specifically,
64

T ( o C)
140
120
100
80
60
40
20
0
100 200 300 400
P (W)
Figure 3.15: Holder temperature T — injected RF power P gauging curve. The
temperature was determined when the holder was in the linear neighborhood of
the thermal equilibrium with plasma.
this temperature was determined as that corresponding to the intersection point
between the tangent lines to the temperature profile corresponding to the two
stages of Bss treatment. This approach is illustrated in Fig. 3.3 with dashed lines,
for the curve corresponding to 400 W injected RF power. The final results are
represented in Fig. 3.15 in the form of a quasilinear temperature—power gauging
curve.
65

If for a reference treatment temperature Tref, the decimal reduction value is
Dref, then for any other treatment temperature T the D-value will be:
D = Dref × 10 − T −T ref
Z , (3.3)
In Eq. (3.3) the quantity Z ( ◦ C) is the so-called Z-value, defined as the
temperature increase required for a tenfold reduction of D. Using the values of
D represented in Fig. 3.13, when all the inactivation agents are allowed to act on
the spores (i.e., Dh+ν+p) and the temperatures calculated for the T − P gauging
curve from Fig. 3.15, the semilogarithmic dependence of Dh+ν+p on the sample
temperature T can be mapped and it is displayed in Fig. 3.16.
In accord with Eq. (3.3), the inverse of the slope of the linear fit ofthe
represented data gives the Z-value, which in this case is Z = 106 ◦ C. If the
reference value of the injected RF power is Pref =100W and the gauging T − P
gauging curve is approximated as linear (the slope being in that case σ =0.3
◦ C/W), then a decrease of D with one decade, with respect to the reference value
Dref =12.03 min (i.e., D =1.20 min), will correspond to an increase of the
injected RF power with ∆P = P − Pref = Z/σ =353W.
3.6 Conclusions
The inactivation of Bss was studied in low pressure oxygen RF plasma op-
erated in continuous wave mode in order to analyze the relative importance of
66

D h + ν + p (min)
100
10
1
0.1
30 60 90 120 150
T ( o C)
Figure 3.16: Decimal reduction value of the Bss population as a function of the
holder temperature, at thermal equilibrium with plasma.
plasma inactivation agents. When the dry heat produced in plasma was used as
the only plasma inactivation agent, its action proved to be very limited, not being
able to produce the sterilization of the spore sample, even at high values of the
injected RF power.
When heat and optical radiation produced in plasma were acting together
as inactivation agents, the effectivity in reducing the number of viable spores in-
creased, and for the maximum used value of the injected RF power the sterilization
67

of the sample was achieved. Moreover, at low values of the injected RF power
the dominant inactivation agent proved to be the optical radiation produced in
plasma, the heat transferred to the sample from the bacteria holder by thermal
conduction having little effect on reducing the spore viability. However, at higher
power values, the relative importance of these two agents was reversed, heat be-
coming the dominant agent. This proves that as the plasma density increases, the
bombardment of the "box" containing the Bss sample with plasma particles has
a far more destructive role than photons.
When plasma particles are allowed to act on spores, together with the other
two inactivation agents, a much better effectivity of this kind of treatment can be
observed. Except for the case of the lowest injected RF power, for all the other
powers the sample sterilization was realized. Besides this, the sterilization time
decreased about 3 times when the spores were directly exposed to plasma particle
bombardment.
Regarding the relative importance of these three inactivation agents on spore
sterilization, the experimental results proved, for the firsttimetoourknowledge,
that:
• during the initial stage of plasma treatment of the spore contaminated sam-
ples, for all the used values of the injected RF power, the most important
inactivation agent is the optical radiation, the action of plasma particles on
spores being of secondary importance for reducing their viability, whereas
68

the dry heat produced in plasma has an insignificant role for spore inacti-
vation;
• during the second stage of plasma treatment (i.e., when the spore sample is
closed to the thermal equilibrium with plasma) the dominant inactivation
agent is represented by plasma particles (excepting the case of the lowest
injected RF power, for which the dominant inactivation agent is optical
radiation).
These experimental results endorse the above statement, according to which
the semilogarithmic survival curves present two slopes only if more than one in-
activation agent act on the contaminated sample and the dominant role of one
of them is taken over by another one, during the contamination process. In the
study presented here plasma particles take over the role of the dominant inac-
tivation agent from the optical radiation. The fact that, for the lowest value of
the injected RF power the main inactivation agent is optical radiation during the
whole decontamination period indicates that, in fact, the survival curve has only
one slope. This can be seen in Figs. 3.4, 3.7 and 3.11 by a simple inspection of the
survival curves obtained for P =100W. Moreover, this conclusion invalidates the
speculation [17, 81] proposed to justify the existence of multislope semilogarithmic
survival curves as a consequence of microorganism stacking on the contaminated
sample. Besides, some recent experimental results [57] showed two-slope survival
(or inactivation) curves for the inactivation of contaminated samples on which the
69

microorganisms were disposed in monolayers.
Based on the obtained experimental results the injected RF power sensitivity
of the spore inactivation kinetics was also established, by determining and using
the Z-value corresponding to the employed inactivation method.
70

CHAPTER 4
EFFECTS OF LOW TEMPERATURE
PULSED PLASMA DISCHARGE ON
BACTERIAL SPORES INACTIVATION
4.1 Introduction
In the last decades, medical and food industries have searched to implement
new sterilization methods, with more practical advantages than the existing con-
ventional techniques [42, 48, 78]. The sterilization with plasma proved to be one
of these successful solutions, acting on microorganisms with all its sterilization
agents, i.e., heat, optical radiation, and particles (electrons, ions, neutrals) [15-
17, 57, 71, 79, 81]. For a fast inactivation of the microorganisms, oxygen and
oxygen-based plasmas were found to be very effective due to their high concentra-
tion of powerful oxidant particles, which are assumed to play an important role
in bacteria neutralization [18, 66, 70, 82, 83]. On the other hand, the treatment
of the temperature-sensitive medical tools requires a low temperature environ-
ment during the sterilization procedure. Regarding the heat effects on medical
tool surfaces, pulsed discharges have been recently used as a sterilization method.
71

The pulse period covered a wide interval, from few microseconds to several tens
of seconds [16, 17, 64, 65, 84, 86]. Although the use of pulsed discharges brings
the advantage of low heat absorption by the treated object, and generally, offers
the possibility of temperature control at the level of the sample (by modifying the
pulse characteristics as control parameters) and of the sterilization time as well,
how microorganism survival curves are affected by pulsed operation mode has not
yet been systematically studied.
The purpose of this chapter is to present new experimental results concerning
the detailed analysis of the sterilization of a Bss contaminated surface, using a low
pressure pulsed RF oxygen discharge. To our knowledge, this is the first study
in low pressure plasmas starting from the in-depth analysis of the microorganism
survival curves and relating the inactivation rates with plasma parameters (ob-
tained from electrical and optical diagnostics), having the pulse characteristics
(pulse frequency and duty cycle, respectively) as control parameters.
The schematic diagram of the chapter is presented in Fig. 4.1.
4.2 Experimental procedure
The injected RF power was pulsed with the help of a pulse generator connected
to the RF source (Fig. 2.1). During the experiments, the effective RF injected
power was set to 200 W. The plasma parameters at the level of the microorganism
holder and optical plasma emission were determined as it was already described
72

Optical
measurement
Evolution of
light emission
with pulse
characteristics
k1
Outside of
thermal
equilibrium
Effects of pulse characteristics on bacteria
inactivation by low temperature pulsed plasma
Plasma
diagnostics
Experimental procedure
(changing the pulse
parameters ton and α)
Temperature
measurement
Dynamics of bacteria population
(surviving curves)
Thermal
equilibrium?
Electrical
measurement
Evolution of
plasma density
with pulse
characteristics
Solved problems:
• Pulsed plasma ensure a low-temperature treatment of thermosensitive
medical materials
• The inactivation rates were higher in cw plasma for when same
injected energy in the discharge as in the case of pulsed plasma
• Inactivation rates (k1 and k2) were correlated with both optical and
electrical plasma properties
Unsolved problem:
• Discrimination of the sort of plasma particles which plays the major
role in sterilization process;
• Identification of the actual physical process at the origin of plasma
sterilization;
Figure 4.1: Schematic diagram of the chapter.
73
k 2
Close to
thermal
equilibrium

in chapter 2. The treatment time of the contaminated samples was extended up
to t =30min, in all the cases.
4.2.1 Pulse characteristics
The experiments in the pulsed regime have been realized by time-modulating
the RF signal, and changing the temporal pulse characteristics. If ton is the time
interval in which the RF signal was feeded to the antenna and toff is the time
interval during which the RF signal is zero, then the main quantities that define
the temporal profile of a pulse are its frequency fp:
fp =(ton + toff) −1
ton,off being the power-on (-off) time, and its duty cycle α, defined as
α =
ton
ton + toff
(4.1)
. (4.2)
The characteristic waveform of the pulse modulated RF signal is presented in Fig.
4.2, wherefp =0.1 kHz and α =50%.
Under these conditions, the pulse can be modified by varying the above two
characteristics. Moreover, due to the fact that both fp and α are functions of
ton and toff, a similar change of the pulse temporal profile can be achieved by
monitoring ton and/or toff. However, because the plasma action on microorgan-
isms is influencedbythepower-ontime(ton) and by the pulse duty cycle (α), the
74

V (kV)
4.0
3.5
3.0
2.5
2.0
1.5
1.0
0.5
0.0
-0.5
-0.01 0.00 0.01 0.02
1/f p (Hz)
Figure 4.2: The RF pulse modulated signal for fp =0.1 kHz and α =50%.
variables chosen for the present experiments were ton and α. Thus, to analyze the
influence of the pulsed injected RF signal on Bss viability, two sets of experiments
werecarriedoutoneinwhichton was varied and α kept constant, and the other
one for which ton was kept constant and α varied.
75

4.2.2 Injected RF power
In order to compare the results obtained in our experiments, in which the
treatment time of Bss samples was the same, we imposed the same effective in-
jected RF power for all cases (i.e., P =200W). The key to the whole issue is
that for comparing the results obtained for the cw and pw modes, the total energy
injected into system from the RF power supply must be the same for all cases.
For the pulsed-mode, if the duration of the pulse is τ, and the pulse period is T ,
then the injected power will be
where P pp
eff
during a period is
E = P pulse
eff T =
P pulse ⎧
⎪⎨
=
⎪⎩
P pp
eff ,t∈ [0,τ)
0,t∈ (τ,T]
, (4.3)
is the pulse peak effective power, then the total energy E injected
⎛
⎝ 1
T
ZT
0
⎞
P pulse dt⎠
T =
Zτ
0
P pulse dt +
where P pulse
eff is the effectivepowerduringthewholepulseperiod.
ZT
τ
P pulse dt = P pp
eff τ, (4.4)
In the cw-mode, the total energy injected in a time corresponding to the pulse
period is
where P cw
eff
E = P cw
effT, (4.5)
is the effective injected RF power for the cw case. From Eq.(4.3) and
76

(4.4)itfollowsthat
P cw
eff = P pp τ
eff . (4.6)
T
So, if the effective injected power in the cw mode is the same with the effective
pulse-peak power, then, from Eq.(4.6) it follows that T = τ. With other words, in
order to compare the results for the cw and pulsed-mode, the net plasma-on times
must be the same in all cases analyzed in the thesis and not the total treatment
time.
In our experiments we imposed the values of the P pp
eff
P pp
eff
to follow the relation
cw Peff = , (4.7)
α
where α is the pulse duty-cycle (i.e., same injected energy in a given treatment
time). Taking into account the definition of α [see Eq.(4.2), α = τ ], then the
T
Eqs. (4.7) and (4.6) are equivalent. With other words, in order to have α ≤ 1,
we modified the P pp
eff
in accord with Eq. (4.7), such that all the results to be
comparable, when the total treatment time is fixed to 30 min for all the studied
cases.
Therefore, in the first set of experiments, ton was set equal with toff (i.e.,
α =50%)and ton was varied. Because of the equality of these two time periods,
varying ton is equivalent with the modification of the pulse frequency (i.e., fp).
Finally, in the second set of experiments the power-on time was kept constant
77

ton =500µs, and the duty cycle was modified. All the results were compared
with those obtained when the RF power was continuously injected into the system.
For the first experimental set the cw-mode is equivalent to ton →∞,orfp → 0.
For the second one, the cw operation mode can be understood as α → 100%.
4.3 Experimental results and discussion
4.3.1 Temperature evolution of the bacteria holder
The analysis of the Bss population dynamics cannot be realized without know-
ing the temporal profiles of the holder temperature during plasma treatment, as
was stated in the chapter 3. We saw that, the heating of microorganisms in plasma
is realized by photon absorption and plasma particle collisions with microorgan-
isms and their substrate. Recombination of the neutral oxygen atoms on the
surface of the bacteria holder has been recently studied and has also been found
to bring an important contribution to the reduction of the inactivation times, by
heating the microorganisms [65].
For both experimental sets the temperature profiles are displayed in Figs. 4.3
and 4.4, showing two regions with different growth rates of the temperature. They
are denoted by I and II, respectively.
When the discharge is ignited, the temperature rises with a high rate in the
first 15 min ( dT
dt
>> 0 in region I). After this period the holder—plasma heat
exchange becomes slower since they get closer to the thermal equilibrium ( dT
dt
78
≥ 0

T ( 0 C)
120
100
80
60
40
20
I
0 5 10 15 20 25 30
t (min)
II
cw
0.10 kHz
0.25 kHz
0.50 kHz
0.75 kHz
Figure 4.3: Time evolution of the spore holder temperature when the RF injected
power is pulsed by changing fp from 0 to 0.75 kHz and keeping α =50%.
in region II). Figure 4.3 presents the temporal evolution of the temperatures
obtained when ton was varied, such that fp was changed from 0 to 0.75 kHz, at
fixed α =50%. It can be seen that the highest increase rate of the temperature
is achieved when the RF power was injected in the cw-mode (i.e., fp =0). After
30 minutes of plasma treatment the maxim temperature was reached at 106.2
◦ C. In the case of pulsed plasma, the level of the temperature was, for all pulse
frequencies, lower than in the cw-mode, reaching the minimum (i.e., 90.3 ◦ C) for
the highest pulse frequency (i.e., fp =0.75 kHz). From 0.25 kHz to 0.75 kHz,
79

T ( 0 C)
120
100
80
60
40
20
I
0 5 10 15 20 25 30
t (min)
II
cw
80%
60%
40%
20%
Figure 4.4: Time evolution of the spore holder temperature when the RF injected
power is pulsed by varying α between 20% and 100% and keeping ton =500µs.
the temperature differences are not notable, varying between 90 ◦ Cand94 ◦ C.
On the other hand, when the power-on time was kept constant (ton =500µs),
the temperature increase rate is less accentuated when α was lowered (Fig. 4.4).
Again, the maximum value of the bacteria holder temperature was observed for
the cw-mode, it decreasing with the reduction of the duty cycle. For α below 60%,
the temperature values are within the 80 ◦ C-84.5 ◦ Cinterval.
The above results prove that plasma can ensure a lower temperature treatment
of the thermosensitive surfaces, which cannot be sterilized without damaging them
80

y using any of the classical heat sterilization techniques. The temperature values
recorded at the end of the second phase of the thermodynamic process describe
the thermodynamic quasiequilibrium of the entire system (i.e., plasma, microor-
ganisms and the holder). Consequently, the temperature difference between that
of the support and that of the Bss sample diminishes towards zero. On the other
hand, microscopically, the entire situation may be different, although at micro-
scopic level the notion of temperature does not make any sense. Anyway, what is
importantinthiscaseisthemacroscopiceffect of the heat transfer from plasma
to contaminated sample and the measure of this effectisgivenbythethermo-
dynamic temperature. Moreover, the data also show that this temperature can
be further decreased by pulsing the discharge (i.e., increase the pulse frequency
or/and decreasing the duty cycle).
Taking into account the high resistance of Bss to high temperatures [114], the
effect of the heat produced by plasma in our experiments have a low influence on
their inactivation. To asses the role of the heat on bacteria, the microbiological
sample was encased in a metallic cover [71]. Under these conditions, the survival
curve was represented for the most unfavorable case (Fig. 4.5), i.e., the cw mode
(P =200W cw), for which the holder temperature is the highest (Figs. 4.3 and
4.4).
The results showed that after 30 min of treatment, the number of surviving
microorganisms was 0.79 × 10 5 . This reduction of the Bss population with only
81

N/N 0 (%)
10 2
10 2
10 2
10 1
10 1
10 1
10 0
10 0
10 0
10 -1
10 -1
10 -1
10 -2
10 -2
10 -2
10 -3
10 -3
10 -3
10 -4
10 -4
10 -4
10 -5
10 -5
10 -5
sterility
0 5 10 15 20 25 30
t (min)
200 W cw
Figure 4.5: Time evolution of the survival ratio N/N0 when the plasma optical
radiation and particle actions were eliminated and the heat was the only Bss
inactivation agent. The effective RF power was 200 W, injected in the cw mode.
one order of magnitude when the heat was the only inactivation agent allowed
to act on the spores, definitely proves its low contribution to the sterilization
process. Moreover, the heat influence on Bss inactivation kinetics for the cw
modewasdepictedindetailinthechapter3 and it was stated that heat plays
just a secondary role in the second treatment stage, much less important than
plasma particles.
82

To conclude, we found 4 distinct methods for decreasing the temperature
at the level of the treated samples, in the sterilization of temperature-sensitive
objects, directly exposed to plasma:
1. Placing the contaminated objects beyond the critical distance from the plasma
source. In this way the holder temperature can be lowered under an
imposed limit (e.g., 70 ◦ C) for which the material of the object is still
not physically damaged by the heat. Our inactivation experiments and
temperature measurements have been realized very close to the plasma
production region, at 3.5 cm below the middle of the antenna on its
symmetry axis. It is true that more than 80 ◦ C have been obtained
there, but a lower temperature can be achieved just by moving the
microorganism holder downstream several cm. Our aim is to show
the correlation between the temperature-time profiles of the bacteria
holder, and the survival curves obtained after plasma treatment, and,
secondly, to prove experimentally that the temperature very close to
antenna is decreasing to reasonable values when the RF power is pulse-
modulated.
2. Pulsing the injected power. The results obtained by us clearly show
that by increasing the pulse frequency, by decreasing the duty-cycle,
or by a proper combination of the above two control parameters, the
temperature at the level of the bacterial sample can be decreased even
83

elow 70 ◦ C.
3. Increasing the injected power. If the effective injected RF power is
increased, the temperature at the level of the bacterial sample can be
kept low, as long as the treatment time needed for sterilization is short
enough, not to approach the thermal equilibrium with plasma.
4. Decreasing the injected power. Sincethetemperatureatthebacteria
holder level decreases with the decrease of the effective injected power,
the above method can be successfully used, though at the expense of
the treatment time.
4.3.2 Temporal dynamics of bacterial population
To obtain more information about plasma-microorganisms interaction in this
low-temperature environment, the temporal dynamics of the number of surviving
Bss has been studied. The inactivation results for ton variation (i.e., when fp
is changed from 0.10 to 0.75 kHz) are presented in Fig. 4.6, together with the
survival curve for the cw case.
The linear fittings of the plotted data are showed only for the extreme behav-
iors, i.e., for cw RF injected power (the solid lines), and for pulsed plasma with
fp =0.75 kHz (the dashed lines). In both cases the curves present a two-phase ki-
netics with different inactivation rates (marked by k1 and k2 in Fig. 4.6). Usually,
after about 5 minutes of treatment the slopes change, showing low killing rates in
84

N/N 0 (%)
10 2
10 2
10 1
10 1
10 0
10 0
10 -1
10 -1
10 -2
10 -2
10 -3
10 -3
10 -4
10 -4
10 -5
10 -5
k 1
sterilization
cw
0.10 kHz
0.25 kHz
0.50 kHz
0.75 kHz
0 5 10 15 20 25 30
t (min)
Figure 4.6: Time evolution of the survival ratio N/N0 when the pulse frequency
was varied from 0 to 0.75 kHz. The time evolution of the survivals for fp =0.75
kHz is represented by dashed line, and for cw (i.e., fp =0Hz) injected power
by solid line. The duty cycle was kept fixed at α = 50%. The intersection of
the solid line with the horizontal dashed line shows the full extinction of theBss
population.
85
k 2

the second phase of the inactivation process.
The data emphasize that the inactivation speed increases with the decrease of
the pulse frequency ( dk1,2
dfp
< 0), the plasma treatment efficiency being maximum
for the cw-mode. Moreover, for the cw-mode, the second slope of the inactivation
kinetics becomes shorter, showing a reduction with six order of magnitude of the
number of viable bacteria (i.e., sterilization, or with other words, less than one
colony) after 20 minutes of treatment. A similar result was obtained after 25
minutes for fp =0.10 kHz. This is represented by the intersection of the solid line
with dashed horizontal line. For the highest pulse frequency (fp =0.75 kHz) the
survival ratio achieved after 30 minutes of treatment was 0.006% of the initial Bss
population.
The survival curves obtained when ton = 500 µs andα was changed are
displayed in Fig. 4.7. These data show that the efficiency of the plasma treatment
increases with the duty cycle ( dk1, 2
dα
> 0), being maximum again for the cw-mode.
When α ≥ 80%, the spore counting indicated sterility of the sample (shown in
Fig. 4.7 by the intersection of the survival curve with the horizontal dashed line)
for treatment times under 25 min.
Theslopesofthelinearfittings of the survival curves, for both treatment
stages of the inactivation dynamics, give the inactivation rates k1 (min −1 )-for
the first slope, and k2 (min −1 ) - for the second one. Their dependence on the
pulse frequency is illustrated in Fig. 4.8, together with the corresponding val-
86

N/N 0 (%)
10 2
10 1
10 0
10 -1
10 -2
10 -3
10 -4
10 -5
k 1
sterilization
20 %
40 %
60 %
80 %
cw
0 5 10 15
t (min)
20 25 30
Figure 4.7: Time evolution of the survival ratio N/N0 when the duty cycle was
varied from 20% to 80%. The dashed inactivation curve corresponds to α =20%,
whereasthesolidonetocwcase(i.e.,α =100%). Thepower-ontimewaskept
fixed at 500 µs. The intersection of the solid line with the horizontal dashed line
shows the full extinction of the Bss population.
87
k 2

k 1, 2 (min -1 )
1.2
1.0
0.8
0.6
0.4
0.2
(a)
0.0
0.0 0.2 0.4 0.6 0.8
f p (kHz)
k 1 cw
k 1
k 2 cw
Figure 4.8: Inactivation rates k1,2 vs. pulse frequency fp. fp was varied from 0.10
to 0.75 kHz. The duty cycle was kept fixed at 50%. The dashed horizontal lines
are the inactivation rates obtained for cw RF injected power. The effective RF
power injected was 200 W.
ues obtained for the cw-mode (represented by dashed lines). It can be observed
that for both slopes the inactivation rates decrease with the increase of the pulse
frequency ( dk1
dfp
< 0). For the second slope, the inactivation rate decreases to a
saturation value k2 ' 0.043 min −1 ,forfp ≥ 0.5 kHz.
The inactivation rates corresponding to the slopes of the survival curves from
Fig. 4.7, obtained for the varying α, are represented in Fig. 4.9. Theirvaluesfor
88
k 2

k 1, 2 (min -1 )
1.2
1.0
0.8
0.6
0.4
0.2
0.0
(b)
k 2 cw
k 1 cw
k 1
20 40 60 80 100
α (%)
Figure 4.9: Inactivation rates k1,2 vs. duty cycle α. ton =500µs, and α was varied
from between 20% and 80%. The dashed horizontal lines are the inactivation rates
obtained for cw RF injected power. The effective RF injected power was 200 W.
the cw-mode are also shown, as dashed lines. For the pulsed plasma, the value
for the firstslopeshowsaminimumataboutα =40%. Abovethisvaluesofthe
duty cycle, the inactivation rate increases until it reaches a value k1 =0.7 min −1
for α =80%.
The highest inactivation rate is again obtained for the cw-mode (k1 =0.98
min −1 ). On the other hand, the profile of the inactivation rate corresponding to
the second slope has a monotonous increase with respect to α.
89
k 2

I (arb. unit)
140
120
100
80
60
40
20
0
300 400 500 600 700 800 900
λ (nm)
777.1 nm
Figure 4.10: Plasma emisson spectrum for the RF injected power set to 200 W
cw mode.
4.3.3 Evolution of light emission intensity with pulse char-
acteristics
In the case of oxygen plasma, which is a poor emitter in the UV range, it is be-
lieved that etching is one of the main inactivation mechanisms [17, 61, 64, 65, 81].
It has been postulated that plasma radicals penetrate and can diffuse inside the
spore material, and the spore surface is eroded through etching. The Scanning
Electron Microscopy photos presented by various research groups are bringing
90

10.76
9.17
ε (eV)
0
hν = 1.59 eV
fundamental level
1s 2 2s 2 2p 3 3p 1
1s 2 2s 2 2p 3 3s 1
Figure 4.11: Atomic energy levels for OI atom, showing the transition from the
excited 3p 1 state to the inferior 3s 1 one.
some evidence on these physical phenomena and the related mechanisms of steril-
ization. The most important role in the inactivation process has been attributed
to reactive oxidizing species created in plasma, through plasma-bacteria surface
interactions [61, 64-66, 82-86]. In order to obtain an estimation of excited neutrals
in the discharges, the evolution of the time-averaged value of the light intensity
of atomic oxygen emission line at 777.1 nm with pulse characteristics has
been monitored.
This emission line (Fig.4.10) is the most pronounced one in the whole wave-
length interval and corresponds to the de-excitation of OI from the excited state
1s 2 2s 2 2p 3 3p 1 (corresponding to the energy ε1 =10.76 eV above the fundamental
91

I (arb. unit)
5
4
3
2
1
0
0.000 0.001 0.002 0.003 0.004
1/f p (s)
Figure 4.12: Temporal profile of the averaged emission intensity I at 777.1 nm
for pulse characteristics of ton =500µs andα 20%. The average RF injected
power was set to 200 W.
state) to the excited state 1s 2 2s 2 2p 3 3s 1 (ε2 =9.17 eV) as it can be seen from Fig.
4.11.
To reach the spore DNA, the inactivation agents must surpass the protective
organic barriers (i.e., the coat and the cortex). In its path to the spore’s core,
the intensity of the incident radiation is exponentially attenuated by the external
structures. Therefore the optical radiation needs high intensity and not a certain
wavelength. Hence, even the photons with wavelengths in visible or infrared can
92

I (arb. unit)
4
3
2
1
0
0.000 0.005 0.010 0.015 0.020
1/f p (s)
Figure 4.13: Temporal profile of the averaged emission intensity I at 777.1 nm
for pulse characteristics of fp =0.1 kHz and α =50%. The average RF injected
power was set to 200 W.
reach the DNA. Therefore, not only the UV spectrum has bactericidal effects. It
is possible that the energy of the emitted photons at the transition between the
above two atomic levels (∆ε =1.59 eV) be responsible for breaking the weak
hydrogen bonds of the spore’s DNA, inducing its death. This assumption is based
on the recent experimental findings [115, 116], according to which the strands of
the nitrogen bases in the DNA in the gas phase can be destructed at subexcitation
energies. Moreover, it is experimentally proved [116] that electrons with low
93

I > (arb.unit)
1.0
0.9
0.8
0.7
0.6
0.0
0.0 0.2 0.4 0.6 0.8
f p (kHz)
Figure 4.14: Averaged intensity < I > of OI emission line at 777.1 nm for different
pulse characteristics when fp was varied from 0.10 to 0.75 kHz. The duty cycle
was kept fixed at 50%. The average RF injected power was set to 200 W.
kinetic energies (i.e., about 1 eV) can initiate the process of strand breaking,
when colliding with the DNA, the main target being the weak hydrogen bridges
between the complementary nitrogen bases.
Figures. 4.12 and 4.13 present the temporal profiles of the intensity of atomic
oxygen averaged emission at 777.1 nm in the pulsed plasma mode changing the
pulse characteristics. Figure 4.12 shows this profile when ton =500µs andα =
20%. It can be observed that a high peak intensity of the emitted light was
94

I > (arb.unit)
1.0
0.9
0.8
0.7
0.6
0.5
0.0
20 40 60 80
α (%)
Figure 4.15: Averaged intensity < I > of OI emission line at 777.1 nm for different
pulse characteristics when ton =500µs, and α was varied from 20% to 80%. The
average RF injected power was set to 200 W.
recorded during the power on time, but this does not have enough time to saturate.
On the other hand in Fig. 4.13, whereα =50%and fp =0.1 kHz, the emission
peak decreases to lower values and tends to saturate at about half of the initial
peak intensity value. When the RF power is off the light emission diminishes to
zero.
The profile of the time-averaged value of the light intensity, corresponding to
the temporal evolution of the above spectral line, against the pulse frequency, is
95

shown in Fig. 4.14.
It can be seen that the profile of the inactivation rate corresponding to the
first slope (k1 in Fig. 4.8) of the survival curves has the same tendency as the
emission intensity in Fig. 4.14. On the other hand, the evolution of the atomic
emission line intensity at 777.1 nm with the duty cycle of the pulse (Fig.
4.15) shows, in integral values, a similar profile with that of the inactivation rate
obtained, under the same conditions, for the first slope (Fig.4.9) of the survival
curves. It can be seen that for pulsed plasma, after a minimum at α =40%
(similar as in Fig. 4.9), the light emission intensity starts to increase,
explaining the inactivation rates profile from α =40%to 80%.
4.3.4 Evolution of plasma density with pulse characteristics
In order to find the influence of plasma particle density on inactivation dynam-
ics, the ion saturation current Iis collected by the Langmuir probe was monitored
when the pulse characteristics were modified. The relation between plasma density
and Iis is shown in the Eq. 4.8.
ne = Iis
r
M 1
√Te
e 0.61eS
(4.8)
where Te is the electron temperature, M is the ion mass and S is probe collecting
surface. Due to the fact that the electron temperature has small values (≤ 4 eV,
asshowninFig. 2.7forP =200W cw injected RF power) and that it contributes
96

I is (mA)
0.4
0.3
0.2
0.1
0.0
0.000 0.001 0.002 0.003 0.004
1/f p (s)
Figure 4.16: Temporal profile of the ion saturation current, for ton =500µs and
α =20%. The average RF injected power was set to 200 W.
to the ion saturation current as a square root, having reduced influence on the
above current variations, it follows that the ion saturation current can be used as
a good measure of plasma density.
The collecting area of the Langmuir probe was situated on top of the Petri
dish, biased at a potential of −70 V to ensure the exclusive collection of ions. The
temporal profiles of the ion saturation current when the plasma was pulsed are
presented in Figs. 4.16 and 4.17.
Figure 4.16 shows the ion saturation current collected from plasma by Lang-
97

I is (mA)
0.25
0.20
0.15
0.10
0.05
0.00
0.000 0.005 0.010 0.015
1/f p (s)
Figure 4.17: Temporal profile of the ion saturation current for fp =0.1 kHz and
α =50%. The average RF injected power was set to 200 W.
muir probe when ton =500µs andα =20%. During power on time, relatively
high values of the ion current are obtained as a consequence of the high energy
electrons generated in this time interval to maintain plasma. When the pulse
characteristics are changed to α =50%and fp =0.1 kHz (Fig. 4.17), the ion
current saturates after about half of the power on time interval. Also, the peak
current values are decreasing. This can be explained by a reduced number of ener-
getic electrons existing in this plasma. The profiles of the time-averaged values of
the ions saturation current, are displayed in Fig. 4.18 and Fig. 4.19, respectively,
98

(mA)
1.2
1.0
0.8
0.6
0.4
0.2
0.0
0.00 0.15 0.30 0.45 0.60 0.75
f p (kHz)
Figure 4.18: Ion saturation current profile (average value) when fp was varied
from 0.10 kHz to 0.75 kHz, keeping α =50%. The average RF injected power
was set to 200 W.
when fp and α were varied. Comparing these results with those showed in Figs.
4.8 and 4.9, for the second stage of the inactivation dynamics, it can be seen a
similar tendency of k2 and curves. With other words, the dynamics of
the inactivation rate k2 is related to the plasma density evolution. When fp was
varied from 0.10 kHz to 0.75 kHz, for α =50%, the ion currents flowing through
the probe from plasma show a decrease with almost one order of magnitude. From
a ton value lower than 2 ms (fp =0.25 kHz), the currents have almost the same
99

value. When ton has been kept constant (Fig. 4.19), it can be seen that the plasma
density is resembling the quasilinear evolution of the k2 inactivation rates from
Fig. 4.9.
All these results suggest that the physical mechanism for inactivation can
be offered by the ion bombardment of the spore’s external membrane, possibly
etching, but definitive proof needs further experiments.
(mA)
0.12
0.10
0.08
0.06
0.00
20 40 60 80
α (%)
Figure 4.19: Ionsaturationcurrentprofile (average value) when ton = 500 µs and
α was increased from 20% to 80%. The average RF injected power was set to 200
W.
100

4.4 Conclusions
The inactivation kinetics of Bss has been systematically analyzed in a low
pressure RF plasma discharge working in continuous and pulsed operation modes,
using the pulse frequency and duty cycle as control parameters. In all cases the
effective value of the RF injected power was the same. To our knowledge, this is
the first study in pulsed plasmas which starts from the detailed analysis of the
microorganism survival curves and relates the extracted information with that
obtained from the electrical and optical plasma diagnostics. For both operation
modes the survival curves presented two separated time inactivation stages, sug-
gested also by the temporal evolution of the holder temperatures. When plasma
was ignited by the continuous application of the RF power, the effectiveness of
the inactivation process was maximized and the sterilization of the bacteria sam-
ple was achieved after 20 minutes of treatment. When plasma was produced by
modulating the RF signal, the temperature atthelevelofthetreatingsamplewas
reduced (by increasing the pulse frequency where dT
dfp |α=cst. < 0 or/and by decreas-
ing the pulse duty cycle where dT
dα |ton=cst. > 0), at the expense of the sterilization
time, showing that a low temperature treatment of the thermosensitive surfaces
can be achieved without damaging them by using any of the classical heat ster-
ilization techniques. Under the given experimental conditions, it was shown that
the thermal effect of plasma on Bss plays a minor role in the sterilization process.
The qualitative relations between the pulse parameters and the microorganism
101

survival curve characteristics were also established. Thus, the inactivation effec-
tiveness (i.e., the reduction of the inactivation time) increased when the pulse fre-
quency was lowered, or its duty cycle was augmented. Regarding the evolution of
the inactivation rates with the pulse frequency/duty cycle, it was observed that the
first phase of the inactivation kinetics is related to the time evolution of the excited
neutral atoms in the pulsed plasma [k1(fp) ∝< I>(fp) and k1(α) ∝< I>(α)],
while in the second phase, the inactivation rate seems to be controlled by plasma
particle number density [k2(fp) ∝< Iis > (fp) and k2(α) ∝< Iis > (α)]. These
findings show that in the time interval needed for bacteria support to approach
the thermal equilibrium with plasma, the inactivation agent playing the leading
role is the optical radiation emitted by plasma, whereas in the second time phase
(when the holder is close to thermal equilibrium with plasma) plasma charged
particles become the main inactivation agent of the studied bacteria.
102

CHAPTER 5
CONCLUSIONS
Over the last decade, surface sterilization by plasma discharges has occupied wide
spaces in the applied physics journals and an enormous progress has been made
in this area. The number of findings on inactivation of microorganisms by plasma
has grown, this method already achieving even some commercial success. It has
been concluded that plasma is an important source of inactivation agents. The
heat, optical radiation and particles created inside of discharge space, all bring
benefits in the treatment of both living and non-living surfaces. Even if plasma
is acting on microorganisms with all the agents enumerated above, the depicted
physical killing mechanism is still a subject of great controversy.
Therefore, the aim of this thesis was the investigation of the role of competing
plasma inactivation agents on Bacillus subtilis spores in oxygen RF discharges,
to obtain a better understanding on the sterilization process. To accomplish this,
new experiments were conducted concerning the detailed analysis of the spores
deactivation in plasma produced by continuous and pulsed mode applications of
the RF injected power.
In the first part of the research, the sporicidal effects were studied with RF
plasma operated in continuous wave mode, in order to allow the discrimination
103

of the effects produced by different inactivation agents. From this point of view
the design of the experiments was challenging, because it is difficult to isolate
the effect of one particular agent by suppressing the production of others. The
experimental results proved, for the first time to our knowledge, that at small
values of the RF injected power the most important inactivation agent is the
optical radiation, whereas at higher powers the dominant role in killing the spores
is played by plasma particles. Moreover, in the assessment of the performances
of a sterilization device working on the basis of a given inactivation method (e.g.,
using plasma), the energy consumption plays a key role. In order to solve this
issue, based on the obtained experimental results the injected RF power sensitivity
of the spore inactivation kinetics was also established, by determining and using
the Z-value corresponding to the employed inactivation method.
In the second part of the research the effects of pulse parameters on bacteria
inactivation was studied with plasma produced by the application of RF injected
power in pulsed wave mode. The results obtained by us clearly show that by
increasing the pulse frequency, by decreasing the duty-cycle, or by a proper com-
bination of the above two control parameters, the temperature at the level of the
bacterial sample. Comparison of the inactivation kinetics showed that the max-
imum effectiveness was obtained when the RF power was injected in the contin-
uous wave mode. The inactivation rates were calculated from the microorganism
survival curves and their dependencies on the pulse characteristics (i.e., pulse fre-
104

quency and duty cycle) were compared with those of the plasma parameters. The
results indicated that the inactivation rate corresponding to the first phase of the
survival curves is related to the time-averaged intensity of the light emission by
the excited neutral atoms in the pulsed plasma, whereas the inactivation rate cal-
culated from the second slope of the survival curves and the time-averaged plasma
density have similar behaviors, when the pulse parameters were modified.
5.1 Unsolved problems and future work
Although in the present thesis we did not discuss any inactivation mecha-
nisms, we are skeptic that the microbial decontamination scenario is closed to
an end. Several issues have been listed as unsolved problems in the flow charts
corresponding of each chapter. The next step for identification of the real physi-
cal mechanisms at the origin of sterilization process is the assessing of the effects
of each type of plasma particles (i.e., charged particles and neutrals) and their
contribution to the spore deactivation dynamics. A manuscript containing these
experimental findings is almost ready to be submitted for publication.
Finally, some experiments should be imagined, designed and conducted to
elucidate and point out the most relevant complex biochemical pathways inside
microorganisms during their inactivation. This means the separation of the main
bacteria constituents (amino acids, proteins and lipids) and the study of effects
on them for each plasma inactivation agent. The look “inside the box” isab-
105

solutely necessary for a profound understanding of the complex phenomena of the
sterilization process.
Moreover, the overall scope of plasmas for biomedical applications can goes
beyond decontamination and sterilization. For example, the apoptosis induction
of cancer cells, manipulation for cell adhesion control and DNA transfection or
plasma coagulation systems used in surgery are practical applications with a great
future for medical industry. All the above-mentioned topics comprise the most
significant examples of modern biomedical plasma research and in the same time
ensure that this fascinating and growing cross-disciplinary field will become the
medical physics of the future.
106

List of publications concerned with the present
thesis
Publication Papers
1. Pulsed Discharge Effects on Bacteria Inactivation in Low-Pressure
Radio-Frequency Oxygen Plasma, D. Vicoveanu, Y. Ohtsu, H. Fujita, Jpn.
J. Appl. Phys. 2008, 47, 1130.
2. Competing Inactivation Agents of Bacteria Spores in Radio-
Frequency Oxygen Plasma, Dragos Vicoveanu, Sebastian Popescu, Yasunori
Ohtsu, Hiroharu Fujita, Plasma Proccess. Polym., 2008, 5, 350.
107

Conferences
1. Bacillus spores sterilization using low-pressure oxygen plasma,
Dragos Vicoveanu, Yasonori Ohtsu, and Hiroharu Fujita, Proceedings of 13 th
Asian Conference on Electrical Discharge, October 16-19, 2006, Sapporo, Japan,
P-2-14, pp. 55.
2. Sporicidal effects of oxygen RF plasma, DragosVicoveanu,Yasunori
Ohtsu, and Hiroharu Fujita, Proceedings of 10 th Conference on Plasma and Fus-
sion Research (Japan Society of Plasma and Fussion Science), December 14-15,
2006, Fukuoka, Japan, O-21.
3. Bacillus inactivation in RF pulse plasma, Dragos Vicoveanu, Ya-
sunori Ohtsu, and Hiroharu Fujita, Proceedings of 24 th Symposium on Plasma
Processing, January 29-31, 2007, Osaka, Japan, pp. 53-54
4. Inactivation characteristics of Bacillus Subtilis in low-pressure
pulsed plasma, Dragos Vicoveanu, Yasunori Ohtsu, and Hiroharu Fujita, Pro-
ceedings of 18th International Symposium on Plasma Chemistry, August 26-31,
2007, Kyoto, Japan, P-112, pp. 680.
5. The influence of the inactivation competing agents on Bacillus
Subtilis spores in oxygen radio-frequency plasma, Dragos Vicoveanu, Se-
bastian Popescu, Yasunori Ohtsu, and Hiroharu Fujita, Proceedings of Symposium
of Applied Physics-spectroscopical measurements in gases and plasma, November
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